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Comments on FINRA Proposals on Purchase and Sale of Initial Public Offerings
The IAA recommended that FINRA remove quantitative thresholds in the proposed exemptions for foreign employee retirement benefits plans and foreign investment companies.
August 29, 2019
The IAA and ICI Global suggested improvements to the licensing framework for foreign financial services providers.
August 08, 2019
The IAA agreed with commenters that the proposal would impose additional and disproportionate compliance burdens on Foreign Financial Services Providers.
November 14, 2018
The IAA supported the FCA’s proposed guidance on communicating fund objectives and investment policies and discussed the need to preserve a level playing field with regard to active and passive management.
July 05, 2018
IAA, Joint Comment Letter on the Global Legal Entity Identifier (LEI) System
The IAA and other trade associations described their support of the evolution of LEI, but raised significant concerns about the LEI Regulatory Oversight Committee’s proposal, including proposed fund relationship information.
December 01, 2017
Relief for Foreign Financial Service Providers – Proposed Legislation for Licensing Exemptions
The IAA supports the Australian Treasury’s proposed exemptions to allow foreign financial service providers to provide services in Australia without having to obtain a license, under certain conditions.
January 11, 2022
Relief to Foreign Financial Service Providers – Consultation Letter
The IAA asked Australian financial regulators to restore and expand prior regulatory relief to allow foreign financial service providers to provide services in Australia without having to obtain a license.
July 29, 2021
IAA, Joint Trades Letter to BCBS and IOSCO Urging Suspension of Initial Margin Compliance Dates
The IAA joined other trade associations to submit a letter to BCBS and IOSCO urging them to recommend to global regulators that the compliance dates for initial margin requirements for non-centrally cleared derivatives be suspended due to the impact of the COVID-19 pandemic.
March 25, 2020
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