IAA Today Archive

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

Keywords: Compliance Conference, Gary Gensler, Karen Barr, SEC Examinations

Categories & Topics: Compliance, Compliance Programs, Enforcement, Examinations, FinTech & Digital, Member Benefits, Membership

SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers

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October 19, 2022

Keywords: Cybersecurity, ESG, Fiduciary, Gary Gensler, Karen Barr, Policy & Leadership Forum, Reg BI, SEC

Categories & Topics: Compliance, Fiduciary, Industry Trends, Industry-Level

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

Keywords: Fiduciary, Form CRS, From the President & CEO, IAA Policy, Karen Barr, Proxy Voting, Sustainable Investing

Categories & Topics: Business Ops/HR, Form ADV & CRS, Industry Trends, Industry-Level, Proxy Voting, Reporting

AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach

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November 04, 2021

Keywords: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr

Categories & Topics: Compliance, FinTech & Digital, Industry Trends, Industry-Level

IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda

SEC Chair Gary Gensler 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, effective coordination with other...

May 19, 2021

Keywords: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing

Categories & Topics: Business Ops/HR, Compliance, Diversity & Inclusion, Fiduciary, Proxy Voting

Fiduciary Advice in a New Era: A Real Relationship for the Long Term

Fiduciary Advice in a New Era: A Real Relationship for the Long Term By IAA President & CEO Karen Barr July 13, 2020 Karen BarrIAA President & CEO On June...

July 13, 2020

Keywords: Columns, DOL, Fiduciary, Form CRS, From the President & CEO, Karen Barr, Reg BI

Categories & Topics: Compliance, Fiduciary