Category: IAA Today
Advisers Are Permitted to Use the Word “Fiduciary” in Form CRS
Advisers are permitted to use the word “fiduciary” in their disclosures, including new Form CRS, contrary to recent press reports that seem to imply otherwise. The IAA received this confirmation...
June 20, 2019
Join IAA Workstreams on SEC and Other Proposed Rulemaking
It continues to be a very active period for SEC and other regulators’ proposed rulemaking. A link to all SEC proposals is available here. We encourage you and your colleagues...
October 21, 2023
Dealing with the New Derivatives Rule:A Guide for Legal and Compliance Professionals By Stephen A. Keen and Andrew P. Cross, Perkins Coie LLP In October 2020, the U.S. Securities and...
September 09, 2021
Dealing with the New Derivatives Rle:A Gide for Legal and Compliance Professionals By Stephen A. Keen and Andrew P. Cross, Perkins Coie LLP In October 2020, the .S. Secrities and...
September 09, 2021
IAA, ACA Grop Annonce Strategic Partnership The Investment Adviser Association has entered into a strategic partnership with ACA Grop (ACA), a leading provider of governance, risk, and compliance (GRC) advisory...
September 08, 2021
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Exposed PII of Thousands of Clients Two SEC-registered investment advisers, four dual registrants, and two broker-dealers have paid...
September 07, 2021
SEC’s Gensler Addresses FinTech Priorities Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral Observing that “[n]ew financial technologies continue to change the face of finance for investors and businesses” globally,...
September 07, 2021
SEC Requests Comment on Adviser Digital Engagement Practices The SEC is requesting information and public comment on the use of digital engagement practices by broker-dealers and investment advisers, including behavioral...
September 07, 2021
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