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IAA Petitions SEC to More Accurately Consider Impact of Regulations on Smaller Advisers
As part of the IAA’s ongoing advocacy on behalf of smaller advisers, we submitted a rulemaking petition to the SEC to require the agency to adhere to its statutory obligations to accurately analyze the impact of its regulations on smaller advisers and consider less onerous alternatives.
September 14, 2023
Summary Report: 2023 Investment Management Compliance Testing Survey
For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.
July 13, 2023
Investment Adviser Industry Snapshot 2023
The Investment Adviser Association (IAA) and National Regulatory Services (NRS), a COMPLY company, today published its annual Investment Adviser Industry Snapshot, which found the sector grew by 2.1% in 2022, with 15,114 fiduciary investment advisers managing $114.1 trillion in assets for 61.9 million clients.
June 22, 2023
The SEC’s Small Business Capital Formation Advisory Committee met to discuss the definition of “accredited Investor” and diversity in the investment process.
December 01, 2023
IAA Petitions SEC to More Accurately Consider Impact of Regulations on Smaller Advisers
As part of the IAA’s ongoing advocacy on behalf of smaller advisers, we submitted a rulemaking petition to the SEC to require the agency to adhere to its statutory obligations to accurately analyze the impact of its regulations on smaller advisers and consider less onerous alternatives.
September 14, 2023
IAA Joins Request to Extend Comment Deadlines
The IAA joined a letter calling on the SEC to provide reasonable time for input on sweeping and complex rule proposals on outsourcing and liquidity and swing pricing that would affect the entire advice and asset management ecosystem.
November 16, 2022
A Lively Gathering in Chicago: IAA’s 2023 Midwest Leadership Forum
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October 06, 2023
Summary Report: 2022 Investment Management Compliance Testing Survey
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
June 30, 2022
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