Tag: COVID-19
More Individuals Qualified for CARES Act Coronavirus-Related Retirement Plan Distributions, Loans Under New IRS Guidance Also Increases Loan Amounts, Includes Temporary Suspension of Repayments June 22, 2020 The IRS...
June 22, 2020
Tags: CARES Act, Coronavirus, COVID-19, IRAs, IRS, Retirement Plans
Highlights from the IAA/CMS Trading and Best Execution Summit: Market Structure Changes and IAs’ Trading, Best Ex Obligations June 24, 2020 The IAA’s second annual Trading and Best Execution...
June 24, 2020
Tags: Best Execution, Brett Redfearn, Coronavirus, COVID-19, Hester Peirce, Jay Clayton, Trading
2020 Investment Management Compliance Testing Survey: BCP Related to COVID-19 Now Top Compliance Co July 17, 2020 Business Continuity Planning related to COVID-19 is now the top concern of...
July 17, 2020
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
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 for SEC-registered investment advisers and broker-dealers identified through industry outreach efforts and consultation with...
August 12, 2020
Tags: OCIE, Coronavirus, COVID-19, Risk Alert
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...
August 20, 2020
Tags: CFTC, Coronavirus, COVID-19
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. In his opening remarks, SEC Chairman Jay Clayton discussed his interest in promoting access and choice for Main...
September 24, 2020
Tags: AMAC, Coronavirus, COVID-19, Diversity & Inclusion, ESG, Private Funds
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 – including systemic...
October 27, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, DERA, Jay Clayton
PPP Borrowers’ Names and Loan Amounts Must be Released, Says U.S. District Court
In a lawsuit brought by news organizations and others, the U.S. District Court for the District of Columbia has ordered the Small Business Administration (SBA) to publicly release the names,...
November 06, 2020
Tags: Coronavirus, COVID-19, PPP Loans
SEC Amends Rules to Facilitate Electronic Submission of Filings
In a move strongly supported by the IAA, the SEC has taken two further actions acknowledging the widespread use of electronic signatures (e-signatures) and related technological developments, as well as...
November 18, 2020
Tags: Coronavirus, COVID-19, E-Signature
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
