Investment Adviser Association

The IAA serves as the voice of the investment advisory profession.

We work closely with policy makers on every legislative and regulatory issue that directly affects investment advisers and we represent the interests of investment advisers on Capitol Hill, working with Members of Congress and their staffs to educate them about relevant issues and concerns (see IAA’s House Financial Services Committee Testimony). The IAA regularly comments on rule changes proposed by the SEC, Department of Labor, other federal and state agencies, and international regulators that directly affect the investment adviser industry and the IAA membership.

The IAA legal team is an indispensable resource for all IAA member firms.

The IAA serves as a unique and valuable resource for IAA members on legal, regulatory, and compliance issues. Our legal staff provides information on the rapidly changing regulatory and compliance environment, industry practices, the scope and nature of SEC and DOL inspections, and much more. IAA member firms are able to communicate directly with the IAA legal staff, who serve as an excellent information resource for compliance professionals, in-house legal staff, and business executives. In addition, the IAA provides extensive online compliance and regulatory materials, located in the Members Only section of this web site.

The IAA is committed to keeping our members informed and up to speed about the most current and real-world developing business issues.

The IAA sponsors a wide variety of conferences, workshops, webcasts, and other educational events that address business, investment, technology, compliance, and other current issues facing investment advisory firms. In addition, the IAA publishes reports, surveys, and other educational information to help inform policy makers, the media, and our membership about the investment advisory profession.

In the Spotlight