Summary results of hundreds of SEC-registered advisers who responded to our 2018 survey provide insights for compliance benchmarking and best practices.
This 19th 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.
Regulatory, technological and business developments impacting trading, best execution and research.
Briefing webinars inform IAA members about the latest regulatory developments affecting SEC-registered investment advisers.
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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.
Get up to speed on data privacy law developments affecting investment advisers at the federal, state, and global levels, including:
Colleen Theresa Brown, a partner at Sidley Austin LLP, has significant counseling and litigation experience related to privacy and data protection matters, including those focused on information security, incident and data breach response. Her compliance counseling experience includes risk management, corporate data protection and privacy programs, privacy by design, privacy policies, international data collection and cross-border transfer, electronic surveillance, trade secrets, social media, cloud computing, online brand protection, diligence for transactions involving information assets and e-commerce. At Sidley, Colleen co-founded Women in Privacy®, a networking group dedicated to thought leadership for women privacy professionals. She is also the chief editor of Data Matters: The Sidley Austin Cybersecurity, Privacy, Data Protection, Internet Law and Policy blog.
Edward McNicholas is a co-leader of Ropes & Gray’s privacy & cybersecurity practice. He represents technologically sophisticated clients facing complex data, privacy, and cybersecurity issues. His clients include financial institutions, insurance companies, branded pharma companies, technology communications companies and select retailers. Ed advises clients on the full range of federal, state and foreign privacy and data security requirements including in the areas of financial privacy, health care privacy, communications privacy, ad-tech, and national security. He also provides substantial advice to clients regarding privacy and data security issues that arise in connection with global internal investigations and trans-national litigation, dealing with such legal dilemmas as those posed by foreign data protection and “blocking” statutes. Ed’s counseling practice also includes other areas of technology law, such as electronic surveillance, cloud computing, the Internet of Things, trade secrets, online advertising, social media and big data/data science.
David Milstein is a Managing Director in Guggenheim Partners, LLC’s Legal department, and is the Privacy officer of Guggenheim Partners, as well as the Head of Legal Technology. He works on a mix of Contracting for software and services agreements, Privacy compliance matters (pertaining to GDPR, CCPA, HIPPA and more), and implementing productivity-enhancing Technology tools for use in business processes that touch on the Law and Regulatory Compliance department, such as the eBilling system for law firm invoices, and electronic signatures, among others. David was previously employed as an IT specialist by the Administrative Office of the US Courts, where he was one of the lead developers of the Case Management/Electronic Case Filing system for the Bankruptcy Courts (known as PACER). Before that he was a consultant at Verizon.
Laura L. Grossman is Associate General Counsel of the Investment Adviser Association. Laura’s areas of focus include cybersecurity, privacy, and custody. Prior to joining the IAA, Ms. Grossman was in private practice for over 10 years in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act, the Investment Company Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues.
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