Proposal Expands Universe of Eligible Securities to Less Liquid Securities
The SEC proposed amendments to ICA Rule 17a-7 to restore registered funds’ ability to cross trade most fixed-income securities, as urged by the IAA.
SEC Warns Investment Managers Against Collaborating on Proxy Matters
SEC warns that coordinated shareholder engagement, including activity conducted through intermediaries, may trigger Section 13(d) filing obligations.
SEC Proposes to Modernize Custody Rule, Responding to Several IAA Calls for Change
The SEC has proposed a framework for the custody of crypto assets and to modernize several outdated aspects of the Custody Rule.
IAA Welcomes Publication of SEC Examination Handbook
New SEC Exam Handbook provides greater clarity and transparency regarding the examination process and what registrants can expect before, during, and after an SEC examination.
The SEC’s Division of Examinations has issued a risk alert regarding investment adviser annual compliance reviews.
The Investment Adviser Certified Compliance Professional (IACCP®) program is designed to advance investment adviser compliance as a profession.
See CalendarAt the 2024 Compliance Conference, a panel of legal experts shared insights they’ve gained from assisting advisers as they navigate the evolving legal landscape surrounding DEI.
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