Tag: COVID-19
BCBS, IOSCO Delay Upcoming Compliance Dates for Initial Margin for Uncleared Derivatives by One Year
The BCBS and IOSCO have extended the deadline for completing the final two implementation phases of the initial margin requirements for non-centrally cleared derivatives.
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 refrain from taking regulatory action while the COVID-19 crisis persists.
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.
April 07, 2020
Tags: Coronavirus, COVID-19, Form CRS, Reg BI
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.
March 30, 2020
Tags: Coronavirus, COVID-19
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
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 funds.
March 14, 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
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