Tag: Columns
Margin Accounts and Implications for Use by Advisory Clients 3
Margin Accounts and Implications for Use by Advisory Clients By Bart J. McDonald, Executive Vice President, Renaissance Regulatory Services* May 24, 2021 Page 1 | Page 2
May 26, 2021
Tags: Columns, Compliance Corner, Margin Accounts
Margin Accounts and Implications for Use by Advisory Clients
Bart J. McDonald Renaissance Regulatory Services The Securities and Exchange Commission’s (“SEC’s”) current exam focus includes retail client accounts, leverage, fees, and conflicts of interest. The use (or misuse) of...
May 24, 2021
Tags: Columns, Compliance Corner, Margin Accounts
LIBOR Transition: Important Recent Developments
Thomas D’Ambrosio Morgan, Lewis & Bockius Background. 2021 has been a busy year so far for the transition away from LIBOR. On March 5, 2021 the United Kingdom’s Financial Conduct...
April 19, 2021
Tags: Columns, Compliance Corner, Libor
High Tech in High Finance | SEC’s FinHub, Compliance Automation
As in other industries, technological change is driving innovation in asset management. At the 2021 IAA Investment Adviser Compliance Conference, a breakout session titled Adapting Technology to Achieve Compliance Efficiency...
April 19, 2021
Tags: FinTech, Columns, Compliance Conference
Seven Tips for Preparing for an SEC Exam
While the pandemic has slowed down much of life, it has had little impact on one of the bigger challenges that an investment advisory compliance effort will face: an SEC...
March 30, 2021
Tags: Columns, Compliance Conference, Examinations, Form CRS, Takeaways
Richard D. Marshall Katten Muchin Rosenman The regulation of cross trading is a surprisingly complex area of law. This is because the term itself is defined differently in different statutes...
March 23, 2021
Tags: Columns, Compliance Corner, Cross Trading
Examining Best Execution and Trading in the Current Landscape
February 2021
February 10, 2021
Tags: Best Execution, Columns, Guest Column, Trading
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?
How investment advisers use social media for marketing advisory services has rapidly evolved over the last 25 years. What used to be heavily debated – to use social media or...
January 27, 2021
Tags: Advertising Rule, Columns, Compliance Corner, Marketing Rule, Social Media
From the President & CEO: Welcome to 2021
Persistence pays off. Literally for decades, the IAA and our members have been advocating for modernization of the SEC’s nearly 60-year-old Advertising Rule, whose woefully outdated provisions have kept investment...
January 06, 2021
Tags: Advertising Rule, Columns, From the President & CEO, Karen Barr, Marketing Rule
Getting Proactive on ESG: Five Tips for Advisers
Environmental, social, and governance: three factors that have become the focus of attention in the investment world. But where is the investment industry when it comes to incorporating the ESG...
January 05, 2021
Tags: Active Managers Council , Columns, ESG, Takeaways
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
