Category: News
IAA Urges CFA Not to Proceed with ESG Product Disclosure Standard
The IAA has urged the CFA Institute (CFA) not to proceed with a proposed ESG disclosure standard for investment products (the Standard) because of the activity of multiple regulators in...
October 20, 2020
Tags: Disclosure, ESG, Proxy
Statistics Point to Record-Setting Year for SEC
SEC Chairman Jay Clayton provided an update on the SEC’s results for the 2020 fiscal year during this year’s virtual SEC Speaks conference on October 8. He applauded the agency...
October 15, 2020
SEC Issues Form CRS FAQs on Disciplinary History Disclosures
On October 8, the SEC issued new Form CRS FAQs regarding disciplinary history disclosure requirements. As of June 30th, investment advisers and broker-dealers have been required to file and deliver...
October 09, 2020
Tags: Disciplinary History, Form CRS
IAA Urges the DOL to Withdraw Proxy Proposal
Saying the Department of Labor’s proposed ERISA proxy amendments “would substantially increase costs for plans and fiduciaries without providing measurable benefits to participants and beneficiaries,” the IAA is urging the...
October 07, 2020
Tags: DOL, ERISA, Gail Bernstein, Proxy
Commissioner Lee: The Economics of Diversity in Capital Markets
When it comes to the importance of diversity and inclusion in the capital markets and the corporate world, SEC Commissioner Allison Herren Lee says the economic evidence is in: diversity...
October 02, 2020
IAA, Other Industry Groups Request More Time to Respond to DOL Proxy Proposal
The IAA joined several other trade associations on September 25 to ask the Department of Labor to provide a 30-day extension to the October 5 deadline for public comments on...
October 02, 2020
Harris Associates GC Rana J. Wright Joins IAA Board of Governors
The IAA is delighted to announce that Rana J. Wright of Harris Associates L.P. is the newest member of the IAA Board of Governors. Wright was appointed by the Board...
September 24, 2020
Tags: IAA Board, Rana J. Wright
SEC Chairman, Enforcement Director Reinforce Focus on Retail Investors
SEC Chairman Jay Clayton Jay Clayton, Chairman of the SEC, recently gave a speech in which he reiterated his focus on retail investors. Clayton suggested that the defining principles for...
September 24, 2020
IAA, Other Industry Groups Call for Modernized E-Delivery Framework
The IAA, along with several other industry trade groups, has issued a discussion paper urging the SEC to update its regulations to establish electronic delivery as the primary means for...
September 23, 2020
Tags: Disclosure, E-Delivery, Electronic Delivery
OCIE Warns of Increased Cybersecurity Attacks Involving “Credential Stuffing”
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert on defenses against a cyber attack method called “credential stuffing” in which hackers take lists of...
September 23, 2020
Tags: OCIE, Cybersecurity, Risk Alert
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