Tag: SEC
SEC Fines Investment Adviser CCO for Failure to Carry Out Compliance Responsibilities
This case underscores that the SEC will bring enforcement cases against CCOs who have not themselves engaged in misconduct where there is a “wholesale failure” to carry out compliance responsibilities.
July 20, 2022
SEC Modifies Proxy Advice Rules, Rescinds Guidance for Investment Advisers
SEC adopts rule amendments to modify 2020 proxy advice rules and rescinds 2020 guidance for investment advisers, consistent with IAA advocacy.
July 20, 2022
Tags: Proxy Advisory Firms, Proxy Voting, SEC
SEC Chair Gary Gensler has confirmed that staff guidance is forthcoming on conflicts of interest, alternative investments, and cost.
July 12, 2022
Tags: Fiduciary, Gary Gensler, Reg BI, SEC
The SEC has proposed rules to enhance and standardize climate-related disclosures for investors.
June 21, 2022
IAA Statement on New SEC Commissioners
We look forward to working with Commissioners Lizárraga and Uyeda to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.
June 20, 2022
Tags: SEC
SEC Proposes ESG Disclosures for Advisers, Amendments to Fund Names Rule
SEC issues proposed ESG disclosure requirements for advisers and funds and amendments to Fund Names Rule, signals strong enforcement of ESG disclosures.
May 26, 2022
Tags: ESG, Names Rule, SEC
IAA Opposes SEC Private Fund Advisers Proposal; Offers Alternatives
We oppose the proposed private fund adviser prohibited activities and the preferential treatment rules and offer alternatives.
April 28, 2022
Tags: Advocacy, Hedge Clauses, Private Equity, Private Funds, SEC
IAA Advocacy on SEC Rulemaking
The IAA submitted comments to the SEC on three major rule proposals affecting investment advisers – cybersecurity, beneficial ownership, and T+1 settlement.
April 15, 2022
Tags: Advocacy, Cybersecurity, SEC, Securities Settlement Cycle
SEC Staff Bulletin Discusses Account Type and Rollover Recommendations
SEC confirms advisers can use “fiduciary” in Form CRS, but no clear path on how, and issues staff bulletin on how broker-dealers and advisers can satisfy their obligations to act in the best interests of investors when making account-type recommendations.
April 14, 2022
Tags: Advisers Act, Fiduciary Duty, Reg BI, SEC
Jaime Lizárraga and Mark Uyeda have been nominated to fill the two SEC commissioner vacancies.
April 08, 2022
Tags: SEC, SEC Appointments
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