IAA Today Archive

SEC Marketing Rule Continues to be Top Compliance Concern, Survey Shows

For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.

July 14, 2023

Keywords: Compliance, Compliance Testing Survey

Categories & Topics: Industry Trends, Industry-Level

SEC Compliance Outreach Program Scheduled for November 15

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September 22, 2022

Keywords: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations

Categories & Topics: Advertising, Compliance, Compliance Programs, ESG, Industry-Level, Private Funds, Registered Funds

Aligning ESG Investing and Compliance

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March 24, 2022

Keywords: Compliance, Compliance Conference, ESG, Proxy Voting

Categories & Topics: Compliance, Compliance Programs, ESG, Industry-Level

Considerations When Drafting an ESG 80% Policy

Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.

February 14, 2022

Keywords: Columns, Compliance, Compliance Policies, Disclosure, ESG, Gary Gensler, Names Rule

Categories & Topics: Compliance, Compliance Programs, ESG, Industry-Level

New SEC Marketing Rule Now Top Compliance Concern, Survey Shows

New SEC Marketing Rule Now Top Compliance Concern, Survey Shows Most firms report effective business continuity plans related to COVID-19 September 3, 2021 Implementing the SEC’s new Marketing Rule for...

September 07, 2021

Keywords: Compliance, Marketing Rule

Categories & Topics: Industry Trends, Industry-Level

Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process

Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process DOL ESG Rule to be Reviewed, Fiduciary Exemption May be Delayed January 26, 2021   President Joe Biden was sworn...

January 26, 2021

Keywords: Compliance, DOL, ERISA, ESG, Executive Order, Fiduciary, Marketing Rule, Proxy Voting

Categories & Topics: Business Ops/HR, Compliance, ERISA & Pension Plans, Industry Trends, Industry-Level, Proxy Voting

2020 Investment Management Compliance Testing Survey: BCP Related to COVID-19 Now Top Compliance Concern

2020 Investment Management Compliance Testing Survey: BCP Related to COVID-19 Now Top Compliance Co July 17, 2020   Business Continuity Planning related to COVID-19 is now the top concern of...

July 17, 2020

Keywords: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity

Categories & Topics: Industry Trends, Industry-Level

SEC Announces 2020 National Compliance Outreach Seminar on April 21

SEC Announces 2020 National Compliance Outreach Seminar on April 21 March 11, 2020   The SEC announced that its 2020 National Compliance Outreach Seminar for investment companies and investment advisers...

March 11, 2020

Keywords: Compliance

Categories & Topics: Industry Trends, Industry-Level