Category: IAA Voices
NY City Bar Association Issues Report on CCO Liability: New Recommendations for the SEC
In recent years, essential gatekeepers have faced increased regulatory focus on holding them personally liable for institutional failures, often arising out of assessments made in hindsight regarding what compliance officers or programs ought to have detected or prevented.
April 27, 2020
Tags: CCO, Guest Column, New York
The SEC speaks, and CCOs listen.
April 17, 2020
Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways
Compliance Considerations in an RIA Merger or Acquisition
Mergers and acquisitions of registered investment advisers set new records in 2019 with the number of deals reportedly exceeding 200 for the year.
February 18, 2020
Compliance Training: A Marathon Without a Finish Line
As the responsibility to maintain compliance with SEC rules and regulations rests on all associates and supervised persons, providing compliance training to all personnel is critical and contributes to a compliance and business culture where legal, ethical practices are the norm.
February 10, 2020
Tags: Columns, Compliance, Compliance Training, Guest Column
A Primer on the Difference Between Cyber and Financial Institution Fidelity Bond Insurance Policies
With the rise in IAA annual survey respondent confirmations of having had a “cybersecurity incident” reaching 39 percent in 2019 as compared to 18 percent in 2016, getting the answer to the question of “Do I have the right coverage?” is an increasingly important consideration.
February 10, 2020
Tags: Columns, Cybersecurity, Guest Column, Insurance
SECURE Act Issues for Investment Advisers
This article summarizes the key changes that advisers should review for their individual clients’ savings arrangements, and consider new potential retirement savings vehicles and incentives for employer plans.
January 27, 2020
Tags: Columns, Guest Column, Retirement Plans, SECURE Act
2020 Policy Outlook: Looking Ahead Requires Looking Back
The IAA is proud to have advanced the interests of the investment adviser community in 2019 – with the strong support and involvement of our members.
January 01, 2020
Tags: Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI
Intricate Merchandise – Challenges of Advertising Investment Advice
Understanding the past is key to understanding the present and future. To set the foundation for issues and policy objectives the SEC is grappling with, a historical retrospective and examples of pressure points are instructive.
December 01, 2019
Tags: Advertising Rule, Columns, Guest Column
New Active Managers Council White Paper Challenges Common Criticisms of Active Management
Active managers can and do outperform their indexes and investors can identify managers more likely to outperform in advance, according to a new white paper.
November 19, 2019
Tags: Active Management, Active Managers Council , David Lafferty
New Case Shows Revenue Sharing a Top SEC Target
A recent SEC complaint serves as yet another reminder to investment advisers about their obligations regarding the receipt and disclosure of revenue from third parties.
September 01, 2019
Tags: Columns, From the General Counsel, Gail Bernstein, Share Class Disclosure
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