IAA Today Archive

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

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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

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

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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 Gensler Discusses ESG Disclosures, Market Structure, Transparency

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June 29, 2021

Keywords: Elad Roisman, ESG, Gary Gensler, Regulatory Agendas

Categories & Topics: ESG, Industry Trends, Industry-Level

Federal Agencies Release Spring 2021 Regulatory Agendas

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June 16, 2021

Keywords: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management

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

SEC Chair Addresses Systemic Risk Council on Money Market Funds, LIBOR; CFTC Receives Recommendation for Best Practice Benchmark to Replace LIBOR

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June 15, 2021

Keywords: CFTC, Derivatives, FSOC, Gary Gensler, Libor, Money Market Fund, Regulatory Agendas, Rostin Behnam

Categories & Topics: Bank Regulation/FSOC, Business Ops/HR, CFTC, Compliance, Industry-Level, Registered Funds

SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas

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July 14, 2020

Keywords: CFTC, DOL, FinCEN, Regulatory Agendas, SEC

Categories & Topics: CFTC, Compliance

Fall 2019 Regulatory Agendas Released; SEC Moves Accredited Investor to Short-Term Agenda, Adds Form 13F Filer Threshold

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November 27, 2019

Keywords: Advertising Rule, AML, CFTC, Custody, DOL, FinCEN, Regulatory Agendas

Categories & Topics: 13F, Advertising, Business Ops/HR, Compliance, Proxy Voting, Reporting, Whistleblower