Category: News
SEC Guidance on Reg BI, Form CRS Expected This Month, More to Follow Conflicts of Interest Disclosure Around Fees a Top Enforcement Priority March 9, 2020 The SEC hopes...
March 09, 2020
Tags: OCIE, Compliance Conference, Peter Driscoll, SEC Enforcement, Steven Peikin
Thank You to our 2020 Compliance Conference Speakers!
Thank You to our 2020 Compliance Conference Speakers! March 10, 2020 The IAA would like to thank the industry experts, peers and regulators who spoke at the 2020 IAA...
March 10, 2020
Tags: Compliance Conference
Oklahoma Proposes Fiduciary Rule for Investment Advisers
Oklahoma Proposes Fiduciary Rule for Investment Advisers March 11, 2020 Oklahoma recently proposed amendments to its investment adviser regulations. Most of the proposed regulations apply only to investment advisers...
March 11, 2020
SEC’s Roisman Raises Concerns About Investment Advisers in Speech on Proxy Issues
SEC’s Roisman Raises Concerns About Investment Advisers in Speech on Proxy Issues March 11, 2020 SEC Commissioner Elad Roisman raised concerns about the proxy voting behavior of investment advisers...
March 11, 2020
Tags: Elad Roisman, Proxy
IAA Coronavirus Update March 20, 2020 As the COVID-19 situation continues to unfold and impact our members, we stand ready to provide resources and up-to-date information on these developments. ...
March 20, 2020
Tags: Coronavirus, COVID-19
IAA to SEC: Expand Accredited Investor, QIB Definitions to Include Discretionary Clients of SEC-Registered Advisers March 23, 2020 The IAA recently submitted a comment letter to the SEC in...
March 23, 2020
Tags: Accredited Investor, QIB
Lee Wants Greater Clarity, Certainty from SEC in COVID-19 Environment
Lee Wants Greater Clarity, Certainty from SEC in COVID-19 Environment April 8, 2020 SEC Commissioner Allison Herren Lee has called on her agency to “move quickly and clearly” to...
April 08, 2020
Tags: Allison Herren Lee, Coronavirus, COVID-19, Jay Clayton
SEC Staff Issues Additional Form CRS FAQs On Filing and Delivery Requirements
SEC Staff Issues Additional Form CRS FAQs On Filing and Delivery Requirements April 13, 2020 SEC staff have issued four new FAQs to provide guidance on filing and delivery...
April 13, 2020
Tags: Form CRS
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI April 7, 2020 The SEC examination staff has issued a Risk Alert providing the...
April 07, 2020
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