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

SEC Seeks Public Comments on Whether “Information Providers” Are Acting as “Investment Advisers”

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June 27, 2022

Keywords:  Form ADV, Active Management, SEC Investment Management

Categories & Topics: Active/Passive, Form ADV & CRS, Industry Trends, Industry-Level, Reporting

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

William Birdthistle Appointed SEC Investment Management Director

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December 21, 2021

Keywords: SEC Appointments, SEC Investment Management

Categories & Topics: Industry Trends

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 Re-Proposes Certain 13F Amendments, Other Electronic Filing Requirements

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November 24, 2021

Keywords:  Form ADV, SEC Investment Management

Categories & Topics: 13F, Form ADV & CRS, Reporting

SEC Updates Performance Fee Rule to Remove Specific Dollar Amounts

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November 22, 2021

Keywords: Fees and Expenses, SEC Investment Management

Categories & Topics: Account Operations, Advisory Contracts

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