IAA Today Archive

Lessons for Private Fund Managers in Recent SEC Enforcement Actions

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March 15, 2023

Keywords: Private Funds, SEC Enforcement

Categories & Topics: Compliance, Private Funds

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 Publishes 2023 Examination Priorities

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February 09, 2023

Keywords:  FinTech, Cybersecurity, ESG, Examinations, Fiduciary, Marketing Rule, Private Funds

Categories & Topics: Compliance, Examinations

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

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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 Fines Adviser for Failing to Promptly Repay Money Borrowed from Private Fund

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October 13, 2022

Keywords: Private Funds, SEC Enforcement

Categories & Topics: Compliance, Enforcement, Private Funds

SEC Private Fund Adviser Enforcement Action Focuses on Undisclosed Cost Components of Fees

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September 26, 2022

Keywords: Private Funds, SEC Enforcement

Categories & Topics: Compliance, Enforcement, Private Funds

Private Fund Advisers: Emerging Insider Trading Issues and Opportunities to Implement Enhanced Controls

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September 22, 2022

Keywords: Code of Ethics, Insider Trading, Private Funds

Categories & Topics: Codes of Ethics, Compliance, Insider Trading, 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