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IAA’s Barr Supports Adequate SEC Funding, Opposes SRO

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March 09, 2023

Keywords: IAC, Mutual Funds, Private Funds, SEC Investor Advocate

Categories & Topics: Compliance, Private Funds

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

Advisers Charged with Valuation, Compliance, Oversight Failures

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June 27, 2022

Keywords: Mutual Funds, SEC Enforcement, Valuation

Categories & Topics: Business Ops/HR, Compliance, Enforcement, Registered Funds, Valuation

IAA Files Comment Letter on Proposal to Report Say-on-Pay Proxy Votes

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December 21, 2021

Keywords: Mutual Funds, Proxy Voting, SEC Investment Management

Categories & Topics: Proxy Voting, Registered Funds

SEC Proposes Money Market Funds Reforms – Again

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December 21, 2021

Keywords: Money Market Funds, COVID-19, Mutual Funds

Categories & Topics: Industry Trends, Registered Funds

SEC Risk Alert Spotlights Deficiencies, Good Practices ID’d in RIC Exams

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November 12, 2021

Keywords: Investment Company Act, Mutual Funds, Risk Alert, SEC Examinations

Categories & Topics: Business Ops/HR, Compliance, Examinations, Registered Funds

SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting

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October 05, 2021

Keywords: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management

Categories & Topics: Business Ops/HR, ESG, Industry-Level, Proxy Voting, Registered Funds

SEC Fines Principal of Mutual Fund Adviser for Failure to Disclose Conflicts to the Fund

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May 18, 2021

Keywords: Conflicts of Interest, Mutual Funds, SEC Enforcement

Categories & Topics: Compliance, Conflicts, Enforcement

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