Tag: Coronavirus
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go
A new report by SEC staff seeks to identify the extent to which interconnectedness and related interdependencies in the U.S. credit markets contributed to or mitigated risk during the market stress brought on by the COVID-19. pandemic.
October 27, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, DERA, Jay Clayton
SEC’s FIMSAC Considers Impacts of COVID-19 on Fixed Income Markets
The SEC’s Fixed Income Market Structure Advisory Committee met on to discuss the impacts of the COVID-19 pandemic and other developments on the fixed income markets.
October 15, 2020
Tags: Coronavirus, COVID-19, FIMSAC, Trading
SEC Investment Management Director Blass Discusses Regulating for the Future
The SEC’s Division of Investment Management Director Dalia Blass discussed in a recent speech the Division’s philosophy of forward-looking regulation.
October 05, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, ETFs, Valuation
AMAC Discusses ESG, Private Funds, Diversity and Inclusion, COVID-19 Impact
The SEC’s Asset Management Advisory Committee (AMAC) held a meeting on September 16.
September 24, 2020
Tags: AMAC, Coronavirus, COVID-19, Diversity & Inclusion, ESG, Private Funds
The IAA has joined other trade associations in an August 5 letter to the CFTC supporting its May 28 adoption of an interim final rule and issuance of a proposed rule delaying implementation dates related to initial margin requirements (IM) for uncleared swaps for swap dealers and major swap participants.
August 20, 2020
Tags: CFTC, Coronavirus, COVID-19
OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk
The SEC examination staff has issued a Risk Alert highlighting select COVID-19 compliance risks and considerations.
August 12, 2020
Tags: OCIE, Coronavirus, COVID-19, Risk Alert
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division.
August 11, 2020
Tags: Advertising Rule, AMAC, Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, Private Funds, SEC Investment Management
FinCEN released additional FAQs about customer due diligence (CDD) requirements for covered “financial institutions” under the Bank Secrecy Act.
August 10, 2020
Tags: AML, Coronavirus, COVID-19, FinCEN
When It Comes to Reopening the Economy, HR is on the “Front Lines”
For months we have been celebrating the brave men and women on the "front lines" of this COVID-19 crisis. But as the nation now turns to the difficult task of re-opening the economy, HR professionals are now on the front lines.
August 06, 2020
Tags: Columns, Coronavirus, COVID-19, Guest Column, HR
Business Continuity Planning related to COVID-19 is now the top concern of investment management compliance professionals – edging out Cybersecurity, which had headed their rankings of hot topics for six consecutive years.
July 17, 2020
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
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
