IAA Opposes SEC Predictive Data Analytics Proposal
The IAA submitted a comment letter to the SEC requesting that the agency withdraw its proposed rules regarding potential conflicts of interest associated with the use of predictive data analytics and other technologies by advisers in investor interactions.
October 10, 2023
SEC Proposes Rules on Advisers’ Use of Technology
On Wednesday, the SEC proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
July 27, 2023
SEC Staff Issues Bulletin Regarding Adviser and Broker-Dealer Conflicts of Interest
We’re sorry – you must be a member to view this content. Please log in.
August 04, 2022
Adviser, Principals Fined for Charging Clients Fees Without Providing Advice
One Principal Barred for Three Years from Acting as Chief Compliance Officer A Michigan-based investment adviser and two of its principals are paying more than $900,000 to settle SEC charges...
October 05, 2021
SEC Finds Breaches of Fiduciary Duty and Duty of Best Execution in Connection with Mutual Fund Share
SEC Finds Breaches of Fiduciary Duty and Duty of Best Execution in Connection with Mutual Fund Share Class Selection February 27, 2020 A Pennsylvania-based dual registrant agreed to pay...
February 27, 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
