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The IAA recommended that FINRA remove quantitative thresholds in the proposed exemptions for foreign employee retirement benefits plans and foreign investment companies.
The IAA agreed with commenters that the proposal would impose additional and disproportionate compliance burdens on Foreign Financial Services Providers.
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.
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.
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.
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.
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