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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.

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.

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Compliance Dates

A list of upcoming compliance deadlines in 2023.

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IACCP Certification & Training

The Investment Adviser Certified Compliance Professional (IACCP®) program is designed to advance investment adviser compliance as a profession.

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At the Compliance Conference, Ammani Nagesh and Keith Shotes discussed bringing diverse talent into the industry.

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Get Involved

It has been a very active period for SEC proposed rulemaking. We encourage you and your colleagues to get involved in the following IAA comment letter workstreams.

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