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AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach

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November 04, 2021

Keywords: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr

Categories & Topics: Compliance, FinTech & Digital, Industry Trends, Industry-Level

IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda

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May 19, 2021

Keywords: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing

Categories & Topics: Business Ops/HR, Compliance, Diversity & Inclusion, Fiduciary, Proxy Voting

SEC’s AMAC Recommends Switch to E-Delivery Default, More to Address Operational Issues Relating to COVID-19

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November 10, 2020

Keywords: AMAC, Compliance, Coronavirus, COVID-19, E-Delivery, Electronic Delivery

Categories & Topics: Compliance, Electronic Delivery

SEC Investment Management Director Blass Discusses Regulating for the Future

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October 05, 2020

Keywords: Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, ETFs, Valuation

Categories & Topics: Compliance, Electronic Delivery, Valuation

IAA, Other Industry Groups Call for Modernized E-Delivery Framework

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September 23, 2020

Keywords: Disclosure, E-Delivery, Electronic Delivery

Categories & Topics: Compliance, Electronic Delivery

The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery

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September 22, 2020

Keywords: Columns, Disclosure, E-Delivery, From the General Counsel, Gail Bernstein

Categories & Topics: Compliance, Electronic Delivery

IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets

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August 11, 2020

Keywords: Advertising Rule, AMAC, Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, Private Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Compliance, Electronic Delivery, Private Funds

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