IAA Today Archive

SEC Considers Potential Rulemaking on Complex Exchange-Traded Products

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October 06, 2021

Keywords: Allison Herren Lee, Caroline Crenshaw, ETFs, Gary Gensler

Categories & Topics: Compliance, Fiduciary

Adviser Pays $300K to Settle Proprietary ETF Disclosure Charges

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August 24, 2021

Keywords: Conflicts of Interest, ETFs

Categories & Topics: Compliance, Conflicts

SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress

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January 13, 2021

Keywords: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate

Categories & Topics: Business Ops/HR, Compliance, Form ADV & CRS, Private Funds, Proxy Voting, Reporting, Senior Client Matters

OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies

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January 12, 2021

Keywords:  OCIE, ETFs, Mutual Funds, SEC Examinations, Treasury Department

Categories & Topics: AML/OFAC, Compliance

OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies

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January 05, 2021

Keywords: ETFs, Mutual Funds, Securities, Trading, Treasury Department

Categories & Topics: AML/OFAC, Compliance

FSOC Expresses Concerns with Fund Leverage and Redemptions

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December 09, 2020

Keywords: Coronavirus, COVID-19, Derivatives, ETFs, FSOC, Hedge Funds, Mutual Funds

Categories & Topics: Business Ops/HR, Industry Trends, Industry-Level, Private Funds, Registered Funds

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

SEC Proposes Updates to Fund Disclosure Framework

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August 11, 2020

Keywords: Disclosure, ETFs, Mutual Funds

Categories & Topics: Business Ops/HR, Registered Funds