Summary results of hundreds of SEC-registered advisers who responded to our 2018 survey provide insights for compliance benchmarking and best practices.
This 18th annual report provides and overview of the investment advisory industry and its emerging trends.
IAA webinars address important legal, regulatory, and compliance topics for investment advisers.
A comprehensive two-day program packed with the most current information on the changing regulatory landscape.
Briefing webinars inform IAA members about the latest regulatory developments affecting SEC-registered investment advisers.
The IAA's monthly newsletter is packed with articles on current legal, regulatory and compliance matters that are of special interest to investment advisers.
The IAA's directory of service providers, enables IAA members to search for firms in more than 20 categories. This extensive list includes both IAA Associate Members and non-members.
The IAA's more than 600 member firms collectively manage $19 trillion for a variety of individual and institutional clients.
IAA webinars address hot topics for advisory professionals. See the library of recordings that are now available.
Connect with like-minded advisory professionals in the IAA membership to exchange ideas and share experiences.
The IAA exclusively serves SEC-registered investment advisory firms and their employees with a wide range of compliance, education, and advocacy resources.
"The IAA is our CCO's first stop for information on compliance matters through its online material and access to its legal team."
— CEO, $1.2B AUM
The 2018 Year in Review provides an overview of the Association and its accomplishment during the year.
Registered investment advisers abide by principles of fiduciary duty that put the client first. These principles are incorporated in the Standards of Practice endorsed by IAA members.
Learn about the latest NFA compliance issues for asset managers that are also CFTC-registered commodity pool operators (CPOs) and commodity trading advisors (CTAs). The panelists will discuss compliance with: (1) new NFA rules requiring CPO Internal Controls, (2) new Swaps Proficiency Requirements for registered associated persons (APs) of CPOs and CTAs, and (3) amended Information Security Systems Program (ISSP) requirements related to cybersecurity incidents. Hear also about key NFA exam findings and considerations for CPOs and CTAs.
Patricia L. Cushing is a Director of Compliance at National Futures Association (NFA). She has worked at NFA since 1990. Ms. Cushing's responsibilities include overseeing staff who conduct financial and compliance examinations, investigations and financial surveillance of brokerage firms in the commodity futures industry. Ms. Cushing manages the design of the department's exam programs and is responsible for the training of the examination staff. She leads the Compliance Department’s Member education efforts, advises Members on compliance issues, and presents at industry conferences. Ms. Cushing has served as a primary liaison between NFA and the CFTC in the development of rules affecting CTAs and CPOs. She is a Certified Public Accountant, Certified Fraud Examiner and Certified Regulatory Compliance Professional, having received this designation through the FINRA Institute at The Wharton School of Business.
Cary J. Meer is a partner in K&L Gates’ Washington, D.C. and New York offices and a member of the Investment Management and Hedge Fund practice groups. Ms. Meer has been structuring private funds as limited liability companies, limited partnerships, offshore corporations, common trust funds and business trusts, and preparing disclosure documents and organizational documents for such entities since the mid-1990s. Her clients include hedge fund and private equity fund sponsors, as well as sponsors of funds-of-funds and funds-of-one. Some of these managers are stand-alone entities and some are part of large financial institutions. She also advises investment advisers, private fund managers, and investment companies on compliance issues, including under the Investment Advisers Act of 1940, whether their commodity interest-related trading or advice would require them to register as commodity pool operators or commodity trading advisors and regarding lobbyist registration and related matters. She also advises institutional investors in connection with their investment in third-party private funds.
Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in February 2004, Ms. Botkin was an associate in the financial services groups at Dechert LLP in Orange County, California and Alston & Bird LLP in Washington, DC. While in private practice, Ms. Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Ms. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014.
Click the "Register" button on this page.
Registration for the live webinar closes on Tuesday, June 4 at 5:00 PM ET.
IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary.
Non-Member Registration Fees: The live webinar is $250 (per computer logon). The recording will be available for purchase after June 5. Contact firstname.lastname@example.org to purchase the recording ($250).
For questions regarding this webinar, contact the IAA at (202) 293-4222 or email email@example.com.