Category: News
IAA Opposes SEC Private Fund Advisers Proposal; Offers Alternatives
We oppose the proposed private fund adviser prohibited activities and the preferential treatment rules and offer alternatives.
April 28, 2022
Tags: Advocacy, Hedge Clauses, Private Equity, Private Funds, SEC
SEC Risk Alert Focuses on MNPI and Code of Ethics Compliance Issues
The SEC has issued a risk alert on MNPI and Codes of Ethics.
April 28, 2022
Tags: Code of Ethics, MNPI, SEC Examinations
IAA Advocacy on SEC Rulemaking
The IAA submitted comments to the SEC on three major rule proposals affecting investment advisers – cybersecurity, beneficial ownership, and T+1 settlement.
April 15, 2022
Tags: Advocacy, Cybersecurity, SEC, Securities Settlement Cycle
SEC Staff Bulletin Discusses Account Type and Rollover Recommendations
SEC confirms advisers can use “fiduciary” in Form CRS, but no clear path on how, and issues staff bulletin on how broker-dealers and advisers can satisfy their obligations to act in the best interests of investors when making account-type recommendations.
April 14, 2022
Tags: Advisers Act, Fiduciary Duty, Reg BI, SEC
IAA, Other Trade Associations Urge SEC to Lengthen Short Comment Periods
The IAA and other trade associations urge the SEC to provide more time to comment on the many concurrent and consequential rule proposals to allow for more thorough and meaningful feedback.
April 06, 2022
Tags: Advocacy, Gary Gensler, SEC
Massachusetts Court Invalidates State’s Fiduciary Duty Rule
Massachusetts court declares the Massachusetts fiduciary duty rule invalid.
April 06, 2022
Tags: Fiduciary Duty, Massachusetts, Reg BI, SEC, State Laws
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
Tags: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions
IAA Urges SEC To Reconsider One-Day Reporting for Private Fund Advisers
The IAA calls on the SEC to substantially amend its proposal to require current reporting of events on Form PF and refrain from defining “digital assets.”
March 29, 2022
Tags: Form PF, Hedge Funds, Private Equity, Private Funds
New SEC Proposal Calls for Short-Sale Reporting
The SEC has proposed requiring institutional investment managers with discretion over client accounts to report confidentially to the SEC, on a monthly basis, certain short positions. Aggregate data will be made available publicly.
March 07, 2022
Tags: Form 13F, Short Selling
IAA, Others Object to Comment Deadlines for SEC Private Fund Proposals
The IAA joins other trade associations to urge the SEC to extend comment periods for the private fund proposals.
March 02, 2022
Tags: Form PF, Hedge Funds, Private Equity, Private Funds
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