Tag: SEC
U.S., Taiwan Regulatory Officials Support Active Management
In recent actions, regulators in the United States and Taiwan have signaled their understanding of the importance of active management.
September 23, 2024
Tags: Active Management, Active Managers Council , Mark Uyeda, SEC, Taiwan
SEC Operations During a Government Shutdown
If lawmakers cannot reach an agreement on government funding, a shutdown will occur at the beginning of the fiscal year on October 1. The IAA is providing more detail about the implications of a government shutdown so that members can prepare accordingly.
September 29, 2025
IAA Shares Regulatory Priorities with new SEC Chairman Atkins
The IAA has submitted a letter to SEC Chairman Atkins outlining the IAA’s regulatory priorities.
May 02, 2025
Tags: Paul Atkins, Reg S-P, SEC
Senate Banking Committee Advances Paul Atkins’ SEC Nomination
On April 3, the Senate Banking Committee voted to advance the nomination of Paul Atkins as Chair of the Securities and Exchange Commission (SEC). The vote fell along party lines, with no Democrats supporting the nomination.
April 04, 2025
Tags: Paul Atkins, SEC
Highlights from the 2025 IAA Compliance Conference
In case you missed the 2025 Compliance Conference, here are some key takeaways.
March 17, 2025
Tags: Compliance Conference, Hester Peirce, SEC
IAA Submits Comments on CIP Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s and SEC’s jointly proposed Customer ID Program rule for investment advisers
July 22, 2024
Tags: AML, SEC, Treasury Department
New Customer Identification Program (CIP) Proposal for Investment Advisers – What You Need to Know
The Financial Crimes Enforcement Network (FinCEN) and SEC recently released a joint proposal outlining potential Customer Identification Program (CIP) regulations for investment advisers.
May 14, 2024
Tags: AML, SEC, Treasury Department
IAA Submits Additional Comments on SEC’s Safeguarding Proposal
The IAA has submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
October 30, 2023
Tags: Custody, Safeguarding, SEC
SEC Operations During a Government Shutdown
If lawmakers cannot reach an agreement on government funding by the end of this week, a shutdown will occur at the beginning of the fiscal year on October 1.
September 29, 2023
Tags: Inside the Beltway, SEC
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