IAA Today Archive

SEC Finalizes T+1 Rules, Proposes Massive Custody Rule Changes

We’re sorry – you must be a member to view this content. Please log in.

February 16, 2023

Keywords: Custody, Division of Investment Management, Recordkeeping, Securities Settlement Cycle, Trading

Categories & Topics: Books & Records, Brokerage & Trading, Compliance, Custody, Form ADV & CRS, Reporting

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

We’re sorry – you must be a member to view this content. Please log in.

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

SEC Charges Nine Private Fund Advisers with Custody, Form ADV Rule Violations

We’re sorry – you must be a member to view this content. Please log in.

September 19, 2022

Keywords:  Form ADV, Custody, SEC Enforcement

Categories & Topics: Compliance, Custody, Enforcement, Form ADV & CRS, Reporting

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

We’re sorry – you must be a member to view this content. Please log in.

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

We’re sorry – you must be a member to view this content. Please log in.

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

Adviser Fined for Custody Rule Violations for Facilitating Loans Between Clients

We’re sorry – you must be a member to view this content. Please log in.

October 07, 2021

Keywords: Compliance Policies, Conflicts of Interest, Custody, SEC Enforcement

Categories & Topics: Compliance, Conflicts, Custody, Enforcement

Adviser Fined for Conflicts Disclosure and Custody Issues Related to Private Fund Investments

We’re sorry – you must be a member to view this content. Please log in.

September 22, 2021

Keywords: Conflicts of Interest, Custody, Private Funds, SEC Enforcement

Categories & Topics: Business Ops/HR, Compliance, Conflicts, Custody, Enforcement, Private Funds

Private Fund Placement Agent Fined for Custody Rule Violations and Lack of Disclosure of Misappropriation

We’re sorry – you must be a member to view this content. Please log in.

September 22, 2021

Keywords: Custody, Disclosure, Private Funds, SEC Enforcement

Categories & Topics: Business Ops/HR, Compliance, Custody, Enforcement, Private Funds