Category: News
SEC Risk Alert Regarding Upcoming Examinations for Compliance with New Marketing Rule
Key takeaways from the September 20 SEC Risk Alert about examination initiatives and areas of review for compliance with new Marketing Rule.
September 20, 2022
Tags: Advertising, Marketing, Performance
IAA Comments on NASAA’s Proposed REIT Guidelines
IAA comments on NASAA proposal on non-traded REITs; objects to applying the proposal and the concentration limit to SEC-registered advisers.
September 20, 2022
Tags: NASAA, NSMIA, Preemption, States
The IAA and other trade associations call for an extension of the comment period for the joint SEC-CFTC Form PF proposal to allow for meaningful stakeholder input.
September 20, 2022
Tags: CFTC, Form PF, Hedge Funds, Private Equity, Private Funds, SEC Investment Management
SEC Adopts Rules to Implement Pay-Versus-Performance Disclosure Requirement
The SEC adopted amendments that require specific disclosures about the relationship between a public company's executive compensation and its financial performance.
September 20, 2022
Tags: Pay versus Performance, Proxy Voting, SEC
Texas Blacklists Financial Firms Over Alleged Energy Boycotts
Texas has blacklisted several firms and hundreds of registered funds, claiming energy boycotts.
September 19, 2022
SEC and CFTC jointly proposed substantial changes to Form PF for all private fund advisers and large hedge fund advisers.
August 22, 2022
Tags: Form PF, Hedge Funds, Private Equity, Private Funds
IAA Responds to SEC Request for Comment on Information Providers Acting as Investment Advisers
The IAA comments on the SEC’s Request for Comment regarding whether index providers, model portfolio providers, and pricing services (Information Providers) are acting as investment advisers.
August 16, 2022
The IAA comments, largely in support, on the SEC’s proposed rules to require enhanced disclosure and reporting by investment advisers and funds that consider ESG factors.
August 16, 2022
SEC Staff Issues Bulletin Regarding Adviser and Broker-Dealer Conflicts of Interest
SEC staff Bulletin on how standards of conduct should apply in identifying and addressing conflicts of interest.
August 04, 2022
Tags: Conflicts of Interest, Fiduciary, Reg BI
SEC’s Birdthistle discusses fees, proxy voting, money market fund reform, and LIBOR, announces expiration of no-action position related to MiFID II.
August 02, 2022
Tags: Libor, MiFID II, Money Market Fund, Private Funds
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