Based on member feedback, we are in the process of redesigning our Resource Library, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
The IAA generally supported the proposed derivatives rule, with certain modifications to reduce unnecessary burdens on advisers. The IAA strongly opposed the proposed sales practice rule for investment advisers related to retail investor transactions in leveraged/inverse investment vehicles because it is both duplicative of and inconsistent with the principles-based approach to fiduciary duty.
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.
The IAA joined other trade associations to submit a letter to European regulators expressing their concerns regarding the application of regulatory technical standards that are forcing the collateralization of physically settled foreign exchange derivative contracts.
The IAA and another trade association urged regulators to grant six months of transitional relief from the March 1, 2017, variation margin requirements and additional transitional relief for foreign exchange clients.
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