Tag: Proxy Voting
Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process
President Joe Biden was sworn into office on January 20, 2021, and right out of the gate issued several executive orders and presidential actions that in many cases overturned actions and policies of the Trump Administration.
January 26, 2021
Tags: Compliance, DOL, ERISA, ESG, Executive Order, Fiduciary, Marketing Rule, Proxy Voting
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020.
January 13, 2021
Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate
SEC’s Investor Advisory Committee Adds New Members
The SEC’s Investor Advisory Committee recently met to discuss corporate disclosure during COVID-19 and the implications of the pandemic for the upcoming proxy season and announced new officers.
December 21, 2020
Tags: Coronavirus, COVID-19, IAC, Proxy Voting
SEC IM Director Dalia Blass Reflects on Division’s Work
In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s hard work and accomplishments throughout the year.
November 17, 2020
Tags: Coronavirus, COVID-19, Custody, Dalia Blass, Proxy Voting, Registered Funds, SEC Investment Management
Proxy Voting Not “Set It and Forget It,” Experts Agree
Proxy voting has become a hot topic in Washington over the last two years – the subject of multiple regulatory initiatives around the globe.
September 22, 2020
Tags: Columns, Proxy Voting, Takeaways
2020 Policy Outlook: Looking Ahead Requires Looking Back
The IAA is proud to have advanced the interests of the investment adviser community in 2019 – with the strong support and involvement of our members.
January 01, 2020
Tags: Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI
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
