Category: IAA Today
IAA Applauds “Improving Disclosure for Investors Act”
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Improving Disclosure for Investors Act passed the House Financial Services Committee on April 26, signaling a significant step toward modernizing...
May 02, 2023
IAA Accredited Investor Proposal Included in Bill Approved by House Financial Services Committee
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The IAA has long advocated that the definition of accredited investor be expanded to provide greater opportunities for retail clients to...
May 01, 2023
SEC Staff Issues Risk Alert on Safeguarding Client Information at Branch Offices
Reflecting an ongoing focus on both oversight of branch offices and safeguarding of client information, the SEC’s Division of Examinations has issued a Risk Alert on the “importance of establishing written policies and procedures for safeguarding customer records and information at branch offices.”
May 01, 2023
Tags: Privacy, Information Security, SEC
IAA Applauds Passage of Small Entity Bill
Contact: IAA VP of Communications & Marketing Janay Rickwalder. On Wednesday, the House Financial Services Committee unanimously approved H.R. 2792, the Small Entity Update Act introduced by Representative Ann Wagner (R-Mo.)....
April 28, 2023
SEC Staff Issues Bulletin on Duty of Care
A new SEC staff bulletin reiterates standards of conduct for investment advisers and broker-dealers when providing investment advice and recommendations to retail investors.
April 21, 2023
IAA Submits Second Comment Letter on Overly Burdensome Outsourcing Proposal
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Proposal is not adequately tailored to the range of firms it covers. April 20, 2023 (Washington, D.C.) The Investment Adviser Association...
April 20, 2023
The IAA Recommends Changes to FTC’s Proposed Non-Compete Rule
The IAA has called for changes to the FTC’s proposed rule, which would prohibit most non-compete clauses.
April 17, 2023
Tags: FTC, Non-Compete Agreements
IAA Statement: FTC Non-Compete Clause Proposal
Media Contact IAA VP of Communications & Marketing Janay Rickwalder | 703-357-3918 From Gail Bernstein, IAA General Counsel While the Investment Adviser Association supports the objective of protecting the interests...
April 17, 2023
10 Tips for Making Your Firm Cyber-Prepared
Cybersecurity is on the SEC’s mind. Not only is cyber risk management a rulemaking priority, but information security and operational resiliency is also a 2023 priority for the Division of Examinations. Here are tips from CCOs on becoming cyber-prepared.
April 12, 2023
Tags: Cybersecurity, Red S-ID, Reg S-P
SEC Settles Charges Against Audit Firm, Partner for Private Fund Valuation Failures
SEC settles enforcement action with audit firm and partner for valuation failures in audit of private funds.
April 12, 2023
Tags: Private Funds, SEC Enforcement, Valuation
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