Category: IAA Today
SEC Marketing Rule Continues to Dominate Investment Advisers’ Compliance Concerns, Survey Reveals
Cybersecurity and electronic communications follow closely behind Washington, DC (July 13, 2023) – For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the...
July 13, 2023
Barron’s Quotes Council’s Schwartz in Article About Active Managers “Proving Their Worth”
Schwartz reminds readers of the many benefits of active management.
June 30, 2023
Pay-to-Play Tips and Reminders
This article discusses tips for advisers to comply with the pay-to-play rule.
June 29, 2023
Tags: Pay-to-Play
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The IAA strongly believes the best way to enhance oversight of investment advisers is to ensure that the Commission has adequate...
June 26, 2023
Media Inquiries: Janay Rickwalder, CAE janay.rickwalder@investmentadviser.org 703-357-3918 Donald Cutler/Lorene Yue Haven Tower Group 424-317-4850/424-317-4854 dcutler@haventower.com/lyue@haventower.com Annual industry survey demonstrates resiliency of the advisory industry; demand for adviser services surges...
June 22, 2023
Advisers Charged with Insufficient Valuation Policies
The SEC has charged two private fund advisers with insufficient valuation policies and procedures relating to investments of private funds they managed.
June 21, 2023
Tags: Private Funds, Valuation
Press Release: IAA Calls for Holistic Review of Rule Proposals
Contact: IAA VP of Communications & Marketing Janay Rickwalder. IAA Calls for Holistic SEC Review of Adviser Proposals; Reasonable and Workable Implementation Timeline The Investment Adviser Association (IAA) has submitted a...
June 20, 2023
IAA Calls for Holistic Review of Rule Proposals
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
June 20, 2023
Tags: Cybersecurity, Outsourcing, Regulation S-P, Safeguarding
Investment Advisers Head to the Hill
More than 70 advisers joined the IAA for Adviser Advocacy Day, meeting with members of Congress and their staffs on issues ranging from tax reform to small business issues to the pace of rulemaking.
June 12, 2023
Tags: Advocacy, IAA on Capitol Hill
Geoff Warren: Active or Passive Depends on Your Situation
The IAA’s Active Managers Council is launching a new video series, featuring experts on active management reviewing some of the benefits and misconceptions about active investing.
June 08, 2023
Tags: Active Management, Active Managers Council , Grossman-Stiglitz, Market Efficiency, Sharpe
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