Senate Banking Committee Advances Paul Atkins’ SEC Nomination
On April 3, the Senate Banking Committee voted to advance the nomination of Paul Atkins as Chair of the Securities and Exchange Commission (SEC). The vote fell along party lines, with no Democrats supporting the nomination.
April 04, 2025
Highlights from the 2025 IAA Compliance Conference
In case you missed the 2025 Compliance Conference, here are some key takeaways.
March 17, 2025
2024 Forum Highlights Challenges, Opportunities for Firm Leaders
AI, cybersecurity, leadership, and more were the hot topics discussed by senior executives from a diverse group of advisory firms at IAA’s 2024 Leadership Forum.
October 11, 2024
Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
July 17, 2024
Industry Insights: 2024 Industry Snapshot Now Available
The 2024 Investment Adviser Industry Snapshot is here! In this edition: a record high number of SEC registered investment advisers; continued growth in the number of asset management clients and total clients; assets under management rebounded to match the record high set in 2021; and much more.
June 21, 2024
Pushback on Aggressive SEC Agenda
In a panel at the 2024 IAA Investment Adviser Compliance Conference, industry experts provided insights on how trends in Washington will affect investment advisers.
April 11, 2024
The SEC’s Small Business Capital Formation Advisory Committee met to discuss the definition of “accredited Investor” and diversity in the investment process.
December 01, 2023
A Lively Gathering in Chicago: IAA’s 2023 Midwest Leadership Forum
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October 06, 2023
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