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

Milestone Anniversaries and New Faces at the IAA

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April 28, 2022

Keywords: Karen Barr, Neil Simon

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

Active Managers Council’s Impact – and Two Major Initiatives

IAA President & CEO Karen Barr on how our Active Managers Council is producing positive, measurable results…with a look at two important current initiatives that we want you to support.

November 10, 2021

Keywords: Active Management, Active Managers Council , IAA Policy, Karen Barr, Webinar

Categories & Topics: Active Managers Council, Membership

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

Adviser Industry Defies Pandemic, Sets New Growth Records

Defying the challenges posed by the pandemic, the investment adviser industry continued to experience record-breaking growth in 2020 – with close to 14,000 SEC-registered investment advisers managing $110 trillion in...

June 28, 2021

Keywords: Evolution Revolution, Industry Snapshot, Industry Statistics, Karen Barr

Categories & Topics: Industry Trends, Industry-Level

New Governors Elected to IAA Board, New Board Officers Set

Laura K. Drynan of Bourgeon Capital Management, Bret C. Hester of TIAA, and T. Williams Roberts, III of GW&K Investment Management have been elected to the IAA Board of Governors...

June 09, 2021

Keywords: Gail Bernstein, IAA Board, Karen Barr

Categories & Topics: Member Benefits, Membership