IAA Today Archive

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

We’re sorry – you must be a member to view this content. Please log in.

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 Compliance Outreach Program Scheduled for November 15

We’re sorry – you must be a member to view this content. Please log in.

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

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

We’re sorry – you must be a member to view this content. Please log in.

June 27, 2022

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, Business Ops/HR, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Responds to Commenter Requests, Extends and Reopens Deadlines

We’re sorry – you must be a member to view this content. Please log in.

May 11, 2022

Keywords: ESG, Gary Gensler, Private Funds

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

Agencies’ Regulatory Agendas Include AML, Cybersecurity, ESG, and More

We’re sorry – you must be a member to view this content. Please log in.

December 15, 2021

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Proxy Voting

SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds

We’re sorry – you must be a member to view this content. Please log in.

April 02, 2021

Keywords: Allison Herren Lee, AMAC, Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, ESG, Evolution Revolution, Hester Peirce, Private Funds

Categories & Topics: Business Ops/HR, Diversity & Inclusion, ESG, Industry Trends, Industry-Level, Private Funds

Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement

We’re sorry – you must be a member to view this content. Please log in.

March 09, 2021

Keywords: Compliance Conference, ESG, Form CRS, Libor, Peter Driscoll, Private Funds, SEC Enforcement, SEC Examinations, Share Class Disclosure, Takeaways

Categories & Topics: Compliance, ESG, Examinations, Industry-Level

AMAC Discusses ESG, Private Funds, Diversity and Inclusion, COVID-19 Impact

We’re sorry – you must be a member to view this content. Please log in.

September 24, 2020

Keywords: AMAC, Coronavirus, COVID-19, Diversity & Inclusion, ESG, Private Funds

Categories & Topics: Business Ops/HR, Diversity & Inclusion, ESG, Industry-Level, Private Funds