The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery The COVID-19 pandemic has proven to be a great disruptor, requiring advisory firms to make a...
December 02, 2020
SEC Adopts Fnd of Fnds Rle – Withot Redemption Limit Opposed by the IAA In a policy win for the IAA, the SEC has adopted a new “fnd of fnds”...
December 02, 2020
Agreement on Top-Line Spending Redces Risk of Government Shtdown Top congressional negotiators have agreed to a set of spending levels for legislation to fnd the government in fiscal 2020, a...
December 02, 2020
2019 IAA Compliance Workshops: Takeaways from OCIE Regional Speakers and Thank Yo to Speakers and Attendees! The IAA extends a special thank yo to the approximately 270 individals who participated...
December 02, 2020
President’s Working Group Issues Recommendations to the SEC Regarding Investments in China, Diligence by Asset Managers and Funds The President’s Working Group on Financial Markets (PWG) has issued a “Report...
December 02, 2020
SEC Responds to Petitioners Challenging Reglation Best Interest Brief Qestions Petitioners’ Standing, Defends Rlemaking on the Merits The SEC is asking the Cort of Appeals for the Second Circit to...
December 02, 2020
In a Victory for IAA Advocacy, Massachsetts Drops SEC-Registered Investment Advisers, Representatives from Fidciary Standard of Condct Reglations As advocated by the IAA, the Massachsetts Secrities Division removed all references...
December 02, 2020