IAA Today Archive

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

SEC Publishes Examination Priorities for 2022

The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.

April 01, 2022

Keywords: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions

Categories & Topics: Compliance, Examinations

SEC Fines 12 Additional Firms for Failing to Timely File and Deliver Form CRS

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February 18, 2022

Keywords: Exams, Form CRS, SEC

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

2022 IAA Policy Outlook: Changes Ahead, Changes Behind

IAA President & CEO Karen Barr on the association and industry’s 2021 highlights — and a look forward at what’s to come in 2022.

January 10, 2022

Keywords: Fiduciary, Form CRS, From the President & CEO, IAA Policy, Karen Barr, Proxy Voting, Sustainable Investing

Categories & Topics: Business Ops/HR, Form ADV & CRS, Industry Trends, Industry-Level, Proxy Voting, Reporting

SEC Staff Releases Additional Form CRS Observations

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December 21, 2021

Keywords: Discl, Disclosure, Fiduciary, Form CRS

Categories & Topics: Fiduciary, Form ADV & CRS

SEC Fines Advisers for Failure to Comply with Form CRS Requirements

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November 04, 2021

Keywords: Form CRS, SEC Enforcement, SEC Examinations

Categories & Topics: Compliance, Enforcement, Examinations

21 Advisers, Six BDs Fined for Form CRS Violations

21 Advisers, Six BDs Fined for Form CRS Violations July 27, 2021   The SEC has fined 21 investment advisers and six broker-dealers for failing to timely file and deliver...

July 27, 2021

Keywords: Form CRS, SEC Enforcement

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

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

IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda May 19, 2021   SEC Chair Gary Gensler Sustainable investing, proxy...

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