IAA Today Archive

SEC Issues New Marketing Rule FAQ on Net Performance Requirements

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January 13, 2023

Keywords: Marketing Rule, SEC Investment Management

Categories & Topics: Advertising, Compliance

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

Highlights from the SEC’s Outreach Program for Advisers and Funds

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November 17, 2022

Keywords: SEC Enforcement, SEC Examinations, SEC Investment Management, SEC Outreach

Categories & Topics: Advertising, Compliance, Compliance Programs, Examinations

IAA and Other Trade Associations Urge SEC and CFTC to Extend Comment Deadline for Second Form PF Proposal

The IAA and other trade associations call for an extension of the comment period for the joint SEC-CFTC Form PF proposal to allow for meaningful stakeholder input.

September 20, 2022

Keywords: CFTC, Form PF, Hedge Funds, Private Equity, Private Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Private Funds

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

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

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 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