IAA Briefing Recordings

IAA Briefing Recordings

IAA Briefing Webinar - The Regulatory Landscape for Advisers: The Only Certainty is Change
Thursday, February 9, 2017 2:00 pm - 2:30 pm ET

On Thursday, February 9, 2017, the IAA legal team presented a Briefing Webinar that updated members on how changes in Washington could impact investment advisers and their businesses, from the potential for financial services legislation to the election’s potential impact on current and proposed SEC, CFTC, Department of Labor, and Treasury Department regulations. The PowerPoint presentation is available here.

IAA Post-Election Briefing Call: How the Election Results Might Affect Investment Advisers
Thursday, November 10, 2016 2:00 pm - 2:30 pm ET

On Thursday, November 10, 2016, IAA senior staff provided their first impressions on the election and its potential impact on the legislative and regulatory issues that affect investment advisers.

IAA Briefing Call - The Regulatory Landscape of 2016
Thursday, September 8, 2016 1:00 pm - 2:00 pm ET

On Thursday, September 8, 2016, the IAA legal team presented a Briefing Webinar that updated members on anticipated legislative, legal, regulatory, and compliance developments and what investment advisers may expect during the final months of 2016 and early 2017. Topics included updates on Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators. The PowerPoint presentation is available here.

IAA Briefing Call - The Regulatory Landscape of 2016
Monday, February 8, 2016 2:00 pm - 3:00 pm ET

On Monday, February 8, 2016, the IAA legal staff updated IAA members on recent legislative, legal, regulatory, and compliance developments. Topics included Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators. The PowerPoint presentation is available here.

IAA Briefing Call - The Latest Regulatory Developments Affecting Advisers
Wednesday, September 9, 2015, 2:00 pm - 3:00 pm EDT

On Wednesday, September 9, 2015, the IAA legal staff updated IAA members on recent legislative, legal, regulatory, and compliance developments. Topics included Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators. The PowerPoint presentation is available here.

IAA Briefing Call - The Regulatory Landscape for 2015
Monday, February 9, 2015, 2:00 pm - 3:00 pm EST

On Monday, February 9, 2015, the IAA legal staff conducted another Briefing Webinar to update its members on legislative, legal, regulatory, and compliance developments. Topics included Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators.

IAA Briefing Call: The Latest Regulatory Developments Affecting Advisers
Wednesday, September 10, 2014, 2:00 pm - 3:00 pm EDT

On Wednesday, September 14, 2014, the IAA legal staff conducted another Briefing Webinar to update its members on legislative, legal, regulatory, and compliance developments. Topics included Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators.

IAA Briefing Call - The Regulatory Landscape for 2014
Monday, February 10, 2014, 2:00 pm - 3:00 pm EST

On Monday, February 10, 2014, the IAA legal staff conducted another Briefing Call to update its members on legislative, legal, regulatory, and compliance developments. Topics included SEC regulatory priorities, Municipal Advisor Rule, Volcker Rule, the status of Dodd-Frank Rulemaking, SEC Examinations and enforcement, CFTC regulatory developments, Department of Labor priorities, and potential legislative activity regarding user fees or an SRO.

IAA 2013 Briefing Call - The Latest Regulatory Developments Affecting Advisers
Wednesday, September 11, 2013, 1:30 pm - 2:30 pm EDT

On Wednesday, September 11, 2013, the IAA legal staff conducted another Briefing Call to update its members on legislative, legal, regulatory, and compliance developments. Topics included what advisers may expect from Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators.

IAA 2013 Briefing Call
Monday, February 11, 2013, 2:00 pm - 3:00 pm EST

On Monday, February 11, 2013, the IAA legal staff conducted a Briefing Call to update its members on legislative, legal, regulatory, and compliance developments. Topics included what advisers may expect from Capitol Hill, the SEC, the CFTC, Department of Labor, Treasury Department, and international regulators.

IAA Briefing Call - The Regulatory Landscape in 2012
Thursday, February 9, 2012, 2:00 pm - 3:00 pm EST

The IAA introduced a new format to update its members on legal, regulatory, and compliance developments with a listen only conference call on February 9, 2012. The call featured discussion on what to expect in 2012 on various compliance, regulatory, and legislative matters, including Form ADV Part 1 and Part 2, Form PF, Large Trader Updates, Pay-to-Play Rule, Anti-Money Laundering, and Proxy Voting.