Category: News
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go October 27, 2020 A new report by SEC staff seeks to identify the...
October 27, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, DERA, Jay Clayton
DOL Adopts Rule Amendments to Address ESG Investing
DOL Adopts Rule Amendments to Address ESG Investing Amendments Drop “ESG” Terms, Update Tie-Breaker Test and Definition of “Pecuniary Factor” November 3, 2020 Following almost unanimous opposition, the DOL...
November 03, 2020
Tags: Retirement Savings, Active Management, DOL, ERISA, Retirement Plans
SEC Enforcement Breaks Records for Total Disgorgement, Penalties, and Whistleblower Awards
SEC Enforcement Breaks Records for Total Disgorgement, Penalties, and Whistleblower Awards November 5, 2020 The SEC’s Division of Enforcement’s 2020 annual report shows a record in total monetary remedies...
November 05, 2020
Tags: Fees and Expenses, Insider Trading, MNPI, SEC Enforcement, Share Class Disclosure, Wrap Fees
PPP Borrowers’ Names and Loan Amounts Must be Released, Says U.S. District Court
PPP Borrowers’ Names and Loan Amounts Must be Released, Says U.S. District Court November 6, 2020 In a lawsuit brought by news organizations and others, the U.S. District Court...
November 06, 2020
Tags: Coronavirus, COVID-19, PPP Loans
Investment Adviser Industry Set Records in 2019, According to New Evolution Revolution Report
Investment Adviser Industry Set Records in 2019, According to New Evolution Revolution Report November 10, 2020 The Investment Adviser industry continued to experience record-level growth through 2019, including in...
November 10, 2020
Commissioner Lee Calls for SEC to Focus on Climate Change
Commissioner Lee Calls for SEC to Focus on Climate Change Discusses ESG-Specific Policies and Procedures for Investment Advisers November 17, 2020 Warning of the “market consequences of waiting until...
November 17, 2020
Tags: Allison Herren Lee, Disclosure, ESG
SEC Amends Rules to Facilitate Electronic Submission of Filings
SEC Amends Rules to Facilitate Electronic Submission of Filings November 18, 2020 In a move strongly supported by the IAA, the SEC has taken two further actions acknowledging the...
November 18, 2020
Tags: Coronavirus, COVID-19, E-Signature
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs
SEC Examination Staff Issues Risk Alert on Adviser Compliance Programs November 19, 2020 The SEC’s examination staff in the Office of Compliance Inspections and Examinations (OCIE) has issued a...
November 19, 2020
Tags: Compliance Policies, Examinations
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review November 24, 2020 Three days after announcing his intent to conclude his tenure as SEC Chairman...
November 24, 2020
Tags: Accredited Investor, Form CRS, Jay Clayton
IAA Urges Congress to Restore, Expand Deduction for Investment Advice in Next Stimulus Package
Short Legislative Horizon Requires Adviser Grassroots Support Now Updated April 3, 2020 The IAA is urging Congress to restore and expand the deduction for advisory fees when it considers a...
April 03, 2020
Tags: Advisory Fee Deductibility, Coronavirus, Inside the Beltway
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