Category: News
OCIE has issued a statement announcing that because of health, safety, and firm operations disruption concerns, OCIE has moved to conducting examinations off-site through correspondence unless it is “absolutely necessary” for its teams to be on-site.
March 23, 2020
Tags: OCIE, Coronavirus, COVID-19
As the COVID-19 situation continues to unfold and impact our members, we stand ready to provide resources and up-to-date information on these developments.
March 20, 2020
Tags: Coronavirus, COVID-19
Recording of Member Call on Coronavirus-Related Issues
The IAA held a member call today with Partners Jason E. Brown and Joel Wattenbarger of IAA Associate Member Ropes & Gray to discuss considerations for firms in addressing a wide range of implications of coronavirus developments
March 18, 2020
Tags: Coronavirus, COVID-19
New SEC, CFTC Staff Guidance on Coronavirus-Related Issues
As the coronavirus continues to cause unprecedented challenges, the IAA has aggregated several breaking regulatory updates to keep you informed.
March 14, 2020
Tags: CFTC, Coronavirus, COVID-19, SEC
SEC’s Roisman Raises Concerns About Investment Advisers in Speech on Proxy Issues
SEC Commissioner Elad Roisman raised concerns about the proxy voting behavior of investment advisers in a recent speech on proxy issues and the SEC’s current proxy proposals.
March 11, 2020
Tags: Elad Roisman, Proxy
Oklahoma Proposes Fiduciary Rule for Investment Advisers
Most of the proposed regulations apply only to investment advisers registered or required to be registered in Oklahoma.
March 11, 2020
Thank You to our 2020 Compliance Conference Speakers!
The IAA would like to thank the industry experts, peers and regulators who spoke at the 2020 IAA Investment Adviser Compliance Conference.
March 10, 2020
Tags: Compliance Conference
The SEC hopes to issue guidance on Regulation Best Interest and Form CRS later this month, OCIE Director Peter Driscoll told attendees at the IAA’s 2020 Investment Adviser Compliance Conference.
March 09, 2020
Tags: OCIE, Compliance Conference, Peter Driscoll, SEC Enforcement, Steven Peikin
Lee said that while she broadly supports the agency’s proposed modernization of the Advertising Rule, she is concerned that some elements of the proposal may be too vague and could lead to uncertainty among compliance professionals.
March 09, 2020
Tags: Advertising Rule, Allison Herren Lee, Compliance Conference, Proxy Advisory Firms, Proxy Rule
SEC Responds to Petitioners Challenging Regulation Best Interest
The SEC is asking the Court of Appeals for the Second Circuit to dismiss two consolidated lawsuits challenging the SEC’s Regulation Best Interest.
March 04, 2020
Tags: Litigation, Reg BI
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