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 Finalizes Say-on-Pay Rules, Proposes New Registered Fund Liquidity Rules

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

November 03, 2022

Keywords: Form N-PX, Proxy Voting

Categories & Topics: Compliance, Exchange Act/Treasury, Proxy Voting, Reporting

Adviser Fined for Proxy Voting Rule Violations, Strong Dissent by Commissioners Peirce and Uyeda

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

September 23, 2022

Keywords: Proxy Voting, SEC Enforcement

Categories & Topics: Compliance, Enforcement, Proxy Voting

SEC Adopts Rules to Implement Pay-Versus-Performance Disclosure Requirement

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

September 20, 2022

Keywords: Pay versus Performance, Proxy Voting, SEC

Categories & Topics: Business Ops/HR, Proxy Voting

SEC Modifies Proxy Advice Rules, Rescinds Guidance for Investment Advisers

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

July 20, 2022

Keywords: Proxy Advisory Firms, Proxy Voting, SEC

Categories & Topics: Business Ops/HR, Proxy Voting

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

Aligning ESG Investing and Compliance

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

March 24, 2022

Keywords: Compliance, Compliance Conference, ESG, Proxy Voting

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

A Proxy Voting Primer for Uncertain Times

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

March 23, 2022

Keywords: DOL, Proxy Advisory Firms, Proxy Voting, SEC

Categories & Topics: Business Ops/HR, Compliance, Compliance Programs, Proxy Voting