Tag: SEC
IAA Files Comments on SEC’s Safeguarding Client Assets Proposal
The IAA has submitted a comment letter urging the SEC to make substantial changes to its proposed rule related to the safeguarding of advisory client assets.
May 09, 2023
Tags: Custody, Safeguarding, SEC
SEC Staff Issues Risk Alert on Safeguarding Client Information at Branch Offices
Reflecting an ongoing focus on both oversight of branch offices and safeguarding of client information, the SEC’s Division of Examinations has issued a Risk Alert on the “importance of establishing written policies and procedures for safeguarding customer records and information at branch offices.”
May 01, 2023
Tags: Privacy, Information Security, SEC
Senators Seek Investigation of SEC Rulemaking
Senate Republicans are calling on the SEC’s Inspector General to investigate the agency’s “aggressive regulatory agenda” under Chair Gary Gensler to ensure smaller advisers have a seat at the table.
March 24, 2023
Tags: Congress, Inside the Beltway, SEC
SEC Officials in the Spotlight at IAA Compliance Conference
More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.
March 17, 2023
Tags: Compliance Conference, Cybersecurity, Marketing Rule, SEC, SEC Enforcement, SEC Examinations, Smaller Advisers
SEC proposes expanding its data privacy rules to require advisers to implement incident response programs and notify clients of unauthorized access or use of sensitive client information; reopens comment period for adviser cybersecurity proposal.
March 16, 2023
Tags: Privacy, Information Security, SEC
GOP Senators Question SEC Equities Market Proposals
A group of Senators has posed questions to SEC Chair Gary Gensler regarding the agency’s proposed revisions to the U.S. equity market structure.
January 27, 2023
Tags: Gary Gensler, SEC, Senate Banking
SEC Extends Relief on Fixed Income Disclosure to 2025
Buyside concerns around a 2020 amended rule that would require dealers to receive and review certain public information before they can publish quotes on fixed income securities were temporarily allayed by a welcome November 30, 2022, SEC no-action letter.
December 02, 2022
Tags: Fixed Income, SEC, Trading
SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers
In a conversation that touched on most of the top-of-mind regulatory issues facing advisers Karen Barr pressed Gary Gensler to recognize the important role advisers play in the lives of their clients and the unintended consequences potentially flowing from the SEC’s departure from its longstanding principles-based approach to adviser regulation.
October 19, 2022
Tags: Cybersecurity, ESG, Fiduciary, Gary Gensler, Karen Barr, Policy & Leadership Forum, Reg BI, SEC
SEC Adopts Rules to Implement Pay-Versus-Performance Disclosure Requirement
The SEC adopted amendments that require specific disclosures about the relationship between a public company's executive compensation and its financial performance.
September 20, 2022
Tags: Pay versus Performance, Proxy Voting, SEC
The IAA comments, largely in support, on the SEC’s proposed rules to require enhanced disclosure and reporting by investment advisers and funds that consider ESG factors.
August 16, 2022
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