Tag: SEC Investment Management
IAA Responds to SEC Request for Comment on Information Providers Acting as Investment Advisers
The IAA comments on the SEC’s Request for Comment regarding whether index providers, model portfolio providers, and pricing services (Information Providers) are acting as investment advisers.
August 16, 2022
Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon
Federal agencies issue Spring 2022 Reg Flex agendas; Custody Rule expected in near term, FTC premerger notification rule and anti-money laundering for advisers on the agenda.
June 27, 2022
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
SEC Seeks Public Comments on Whether “Information Providers” Are Acting as “Investment Advisers”
The SEC seeks comments on whether information providers such as index providers, model portfolio providers, and pricing services, meet the statutory definition of investment adviser.
June 27, 2022
Tags: Form ADV, Active Management, SEC Investment Management
IAA Files Comment Letter on Proposal to Report Say-on-Pay Proxy Votes
The IAA has commented on the SEC’s re-proposal of a rule and form amendments to facilitate the disclosure of say-on-pay (executive compensation) proxy votes by institutional investment managers that are subject to Section 13(f) of the Exchange Act.
December 21, 2021
William Birdthistle Appointed SEC Investment Management Director
Chicago-Kent College of Law Professor William Birdthistle has been named Director of the SEC’s Division of Investment Management.
December 21, 2021
Agencies’ Regulatory Agendas Include AML, Cybersecurity, ESG, and More
Federal agencies have released updates to their regulatory agendas, which include several important new potential regulations for investment advisers, most notably regarding anti-money laundering, cybersecurity, and private fund advisers.
December 15, 2021
Tags: Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management
SEC Updates Performance Fee Rule to Remove Specific Dollar Amounts
The SEC has amended the rule that allows advisers to charge performance-based fees to qualified clients, to remove specific dollar amounts.
November 22, 2021
SEC Re-Proposes Certain 13F Amendments, Other Electronic Filing Requirements
Re-proposed amendments include requiring managers to provide additional identifying information, technical amendments re: structured data reporting.
November 24, 2021
SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
Tags: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management
SEC Offers Free Training on Identifying and Reporting Elder Abuse
SEC Offers Free Training on Identifying and Reporting Elder Abuse July 7, 2021 The SEC has announced a joint training program – with the North American Securities Administrators Association...
July 07, 2021
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