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Recommendations of SEC Asset Management Advisory Committee on Small Advisers
The IAA’s letter to the House Financial Services Committee supports bi-partisan legislation that would require the SEC to analyze the impact of regulations on small businesses and consider alternative approaches. This is consistent with the recent AMAC recommendation for the SEC to reconsider a small entity for purposes of its regulatory analysis.
November 23, 2021
Presentation to SEC’s AMAC on Smaller Investment Advisers
The IAA participated in a meeting of the SEC’s AMAC to discuss business and regulatory challenges facing smaller advisers, including outsourcing, scalability, cyber, CUSIP fees, cumulative impact of regulation, and more. We presented data from the IAA’s 2021 Adviser Industry Snapshot to underscore that the “typical” adviser is a small business by any measure and called on the SEC to take smaller advisers into account when setting policy and exam expectations.
September 27, 2021
White Paper Submitted to the SEC Asset Management Advisory Committee’s ESG Subcommittee
The IAA submitted a white paper prepared by the IAA’s Active Managers Council on ESG and sustainable investing to the SEC Asset Management Advisory Committee’s ESG Subcommittee as the Subcommittee considers ESG investing and active and passive management.
August 19, 2020
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