Successful IAA Compliance Conference Sees Spirited Discussions, Record Attendance
More than 600 investment advisory industry professionals convened at the 2024 IAA Investment Adviser Compliance Conference. Across two days, attendees got up to speed on critical industry topics and collaborated with their peers from across the country.
March 14, 2024
SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers
We’re sorry – you must be a member to view this content. Please log in.
October 19, 2022
2022 IAA Policy Outlook: Changes Ahead, Changes Behind
IAA President & CEO Karen Barr on the association and industry’s 2021 highlights — and a look forward at what’s to come in 2022.
January 10, 2022
AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
We’re sorry – you must be a member to view this content. Please log in.
November 04, 2021
The issues include sustainable investing, proxy voting, modernization of the Custody and Pay-to-Play Rules, e-delivery, investor testing of Form CRS, appropriate regulation of smaller advisers, and effective coordination with other regulators.
May 19, 2021
Fiduciary Advice in a New Era: A Real Relationship for the Long Term
On June 30, the SEC’s new standard of conduct for broker-dealers (Reg BI) and Form CRS for advisers and brokers went live, with the Advisers Act fiduciary interpretation having already been in effect over the past year.
July 13, 2020
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
