2023 IAA Compliance Workshops Takeaways – Off-Channel Communications, AI
A big thank you to everyone who helped make the 2023 IAA Compliance Workshops a success. If you didn't make it to a Compliance Workshop this year, here's what you missed.
November 16, 2023
Webinar Recap: What’s Driving Growth in Active ETFs?
After years in the shadows, active ETFs are having their day in the sun. Recently, experts from three IAA member firms gathered to discuss what’s behind the proliferation and rapid adoption of active ETFs. Here’s what you might have missed.
November 03, 2023
5 Questions Every Asset Manager Should Ask a Tech Vendor – Before You Commit
Vendor relationships are critical to operating any investment management business. The right partner can drive significant value for your firm and pay dividends long term. But how do you find the right one in a sea of offerings?
November 01, 2023
DOL Proposes Updated Definition of Investment Advice Fiduciary
The Department of Labor (DOL) has issued a proposal to update the definition of an investment advice fiduciary under the Employee Retirement Income Security Act (ERISA). The updated definition of an investment advice fiduciary would apply when a financial service provider gives investment advice for a fee to retirement plan participants, IRA owners and others.
November 01, 2023
IAA Submits Additional Comments on SEC’s Safeguarding Proposal
The IAA has submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
October 30, 2023
SEC Publishes 2024 Examination Priorities
SEC’s 2024 examination priorities include fiduciary duty, disclosure of material facts relating to conflicts of interest, advertising practices, and more.
October 17, 2023
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 Amends Beneficial Ownership Rules
The SEC adopted amendments to rules governing beneficial ownership reporting, including shorter deadlines for initial and amended Schedule 13D and 13G filings.
October 10, 2023
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