Category: News
OCIE Warns of Increasingly Sophisticated Ransomware Attacks
OCIE Warns of Increasingly Sophisticated Ransomware Attacks July 13, 2020 The SEC’s examination staff has shared observations to assist investment advisers and others in enhancing their cybersecurity preparedness and...
July 13, 2020
Tags: OCIE, Cybersecurity, Risk Alert
2020 Investment Management Compliance Testing Survey: BCP Related to COVID-19 Now Top Compliance Co July 17, 2020 Business Continuity Planning related to COVID-19 is now the top concern of...
July 17, 2020
Tags: BCP, Compliance, Compliance Testing Survey, Coronavirus, COVID-19, Cybersecurity
IAA to DOL: Provide More Time for Considered Response to Sweeping ESG Proposal
IAA to DOL: Provide More Time for Considered Response to Sweeping ESG Proposal July 21, 2020 The IAA joined several other trade associations on July 20 to ask the...
July 21, 2020
New SEC Proxy Guidance for Advisers Effective September 3;Proxy Advisory Firm Rules Take Effect on November 2 Updated September 3, 2020 New, supplemental SEC guidance regarding the proxy voting...
September 03, 2020
Tags: Proxy, Proxy Advisory Firms
IAA Comments on DOL’s Proposed Fiduciary Exemption
IAA Comments on DOL’s Proposed Fiduciary Exemption August 10, 2020 The IAA has submitted a comment letter to the Department of Labor on that agency’s proposed fiduciary exemption. The...
August 10, 2020
Tags: Compliance, Digital Advice, DOL, Fiduciary
IAA Urges DOL to Withdraw ESG Proposal
IAA Urges DOL to Withdraw ESG Proposal August 11, 2020 The IAA recently submitted a comment letter asking the DOL to withdraw its proposed amendments to its ERISA investment...
August 11, 2020
Tags: Active Management, Active Managers Council , DOL, ERISA, ESG
OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk
OCIE Issues Risk Alert Relating to COVID-19 Compliance Risk August 12, 2020 The SEC examination staff has issued a Risk Alert highlighting select COVID-19 compliance risks and considerations for SEC-registered...
August 12, 2020
Tags: OCIE, Coronavirus, COVID-19, Risk Alert
DOL Proposes Dramatic Changes to Proxy Voting by ERISA Plan Fiduciaries
DOL Proposes Dramatic Changes to Proxy Voting by ERISA Plan Fiduciaries Would Prohibit Voting Proxies Unless Matter Has Economic Impact on Plan September 1, 2020 Signaling a major change...
September 01, 2020
Tags: DOL, ERISA, ESG, Proxy, Retirement Plans
SEC Chairman, Enforcement Director Reinforce Focus on Retail Investors
SEC Chairman, Enforcement Director Reinforce Focus on Retail Investors September 24, 2020 SEC Chairman Jay Clayton Jay Clayton, Chairman of the SEC, recently gave a speech in which he...
September 24, 2020
Harris Associates GC Rana J. Wright Joins IAA Board of Governors
Harris Associates GC Rana J. Wright Joins IAA Board of Governors September 24, 2020 The IAA is delighted to announce that Rana J. Wright of Harris Associates L.P. is...
September 24, 2020
Tags: IAA Board, Rana J. Wright
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