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Based on member feedback, we are in the process of redesigning our Resource Library, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.

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Comments on Regulation Best Interest, Form CRS, and Advisers Act Fiduciary Duty Interpretation

The IAA supported the SEC’s efforts to extend fiduciary principles to all financial professionals. Regarding proposed Regulation Best Interest, the IAA raised concerns about the narrow scope and application of the rule. The IAA recommended investor testing and streamlining of proposed Form CRS and discussed the need for a more principles-based approach and certain clarifications in the fiduciary duty interpretation.

August 06, 2018

Keywords: Fiduciary, Form CRS, Reg BI

Categories & Topics: Compliance, Fiduciary, Form ADV & CRS, Reporting

Remarks at SEC Investor Advisory Committee Meeting on Regulation Best Interest and Form CRS

Karen Barr, president & CEO of the IAA, commended the SEC for taking action to strengthen the standard of conduct for broker-dealers. She discussed the IAA’s concerns about the scope of proposed Regulation Best Interest. Regarding proposed Form CRS, the IAA has significant concerns about the potential for investor confusion and supports investor testing.

June 14, 2018

Keywords: Fiduciary, Form CRS, IAC, Reg BI

Categories & Topics: Compliance, Fiduciary, Form ADV & CRS, Reporting

Comments on GIPS 20/20 Consultation Paper

The IAA recommended several overarching principles to guide the GIPS 20/20 Exposure Draft, including a careful review of costs and benefits, and the need for flexibility, simplification, and a sufficient transition time. The IAA also provided feedback on proposed changes discussed in the paper.

July 16, 2017

Keywords: GIPS

Categories & Topics: GIPS, Reporting

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