Tag: Coronavirus
The FSB Reacts to COVID-19’s Shock to the Financial System
On April 11, the Chair of the Financial Stability Board (FSB) sent a letter to the G20 Finance Ministers and Central Bank Governors updating them on the FSB’s actions to...
April 14, 2020
Tags: Coronavirus, Libor, Systemic Risk
BCBS, IOSCO Delay Upcoming Compliance Dates for Initial Margin for Uncleared Derivatives by One Year
Responding to a request by the IAA and other trade associations, the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) have extended by one year the deadline for...
April 10, 2020
Tags: Coronavirus, COVID-19, Derivatives
Lee Wants Greater Clarity, Certainty from SEC in COVID-19 Environment
SEC Commissioner Allison Herren Lee has called on her agency to “move quickly and clearly” to extend current and recently closed comment periods on proposed regulatory actions – and to...
April 08, 2020
Tags: Allison Herren Lee, Coronavirus, COVID-19, Jay Clayton
SEC Says No to Extending Form CRS, Reg BI Deadlines
The SEC has declined to extend the filing and delivery deadlines for the new Form CRS and the implementation date for new Regulation Best Interest. In an April 2 statement, Chairman Jay...
April 07, 2020
Tags: Coronavirus, COVID-19, Form CRS, Reg BI
IAA Urges Congress to Restore, Expand Deduction for Investment Advice in Next Stimulus Package
The IAA is urging Congress to restore and expand the deduction for advisory fees when it considers a “phase 4” stimulus package in response to the COVID-19 crisis. Congress is...
April 03, 2020
Tags: Advisory Fee Deductibility, Coronavirus, Inside the Beltway
IAA Adds New Charts Detailing Relief to Coronavirus Response Resources
To help members keep abreast of new filing deadlines and other Coronavirus-related regulatory relief, the IAA has added two new charts to its Coronavirus Response Resources web section. One is...
March 30, 2020
Tags: Coronavirus, COVID-19
(Updated April 1, 2020) The SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a statement announcing that because of health, safety, and firm operations disruption concerns, OCIE has...
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. In the event of an office closure...
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...
March 18, 2020
Tags: Coronavirus, COVID-19
The SEC has issued two orders providing targeted relief from filing and delivery deadlines for Form ADV and Form PF, from in-person board meetings for registered funds, and certain other...
March 14, 2020
Tags: Coronavirus, COVID-19
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