IAA Today Archive

CFTC Proposes to Codify Separate Account Relief at FCMs

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March 23, 2023

Keywords: CFTC

Categories & Topics: CFTC, Compliance

Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist

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January 09, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

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June 27, 2022

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, Business Ops/HR, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

Agencies’ Regulatory Agendas Include AML, Cybersecurity, ESG, and More

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December 15, 2021

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Proxy Voting

Federal Agencies Release Spring 2021 Regulatory Agendas

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June 16, 2021

Keywords: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management

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

SEC Chair Addresses Systemic Risk Council on Money Market Funds, LIBOR; CFTC Receives Recommendation for Best Practice Benchmark to Replace LIBOR

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June 15, 2021

Keywords: CFTC, Derivatives, FSOC, Gary Gensler, Libor, Money Market Fund, Regulatory Agendas, Rostin Behnam

Categories & Topics: Bank Regulation/FSOC, Business Ops/HR, CFTC, Compliance, Industry-Level, Registered Funds

CFTC Staff Issues Updated Form CPO-PQR FAQs to Reflect Revised Form

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June 15, 2021

Keywords: CFTC, CPO

Categories & Topics: CFTC, Compliance

CFTC Establishes New Climate Risk Unit to Focus on Role of Derivatives

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March 23, 2021

Keywords: CFTC, Climate, ESG

Categories & Topics: CFTC, Compliance