Washington, DC (July 16, 2024) – Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published...
July 16, 2024
A Balanced Introduction to Active Management
Have you ever noticed that every opinion piece on active management starts the same way? It’s time for a new way of presenting active management to clients.
July 08, 2024
FTC’s Non-Compete Ban on Hold: Court Blocks Implementation
A federal court has temporarily blocked a rule that would have prevented most employers from using non-compete agreements with their workers.
July 08, 2024
Tags: FTC, Non-Compete Agreements
Surveys provide insights on how financial planners, Gen X view active, passive
Two recent surveys provide insights on how financial planners and Gen X investors are thinking about the balance between active and passive investing.
June 26, 2024
Tags: Active Management, Active Managers Council , Index Funds, Passive Management
IAA Submits Amicus Brief Opposing Improper State Regulation of SEC-Registered Investment Advisers
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association has submitted a “friend of the court” (or amicus) brief in a lawsuit filed in federal court in Missouri....
June 26, 2024
IAA Submits Amicus Brief Opposing Improper State Regulation of SEC-Registered Investment Advisers
The IAA has submitted an amicus brief in a lawsuit filed in federal court in Missouri focused on the critically important issue of whether Missouri or other states have the legal authority to impose substantive regulation on SEC-registered investment advisers and their adviser personnel. The IAA’s answer is a resounding “no.”
June 26, 2024
Tags: ESG, State/Blue Sky
Investment Adviser Association Adviser Advocacy Day 2024
The Investment Adviser Association (IAA) Adviser Advocacy Day, held annually in Washington, D.C., is a cornerstone event for the investment advisory community. This year’s event was particularly significant, addressing critical issues facing the industry amidst a turbulent regulatory landscape.
June 24, 2024
Tags: Advocacy, IAA on Capitol Hill
Industry Insights: 2024 Industry Snapshot Now Available
The 2024 Investment Adviser Industry Snapshot is here! In this edition: a record high number of SEC registered investment advisers; continued growth in the number of asset management clients and total clients; assets under management rebounded to match the record high set in 2021; and much more.
June 21, 2024
A Layperson’s Briefing on Generative AI
It’s clear that artificial intelligence (AI) is one of the hottest topics across any industry. But what exactly is generative AI, and how can it be used in the investment management world?
June 14, 2024
Tags: Artificial Intelligence
Court Vacates Private Fund Adviser Rules, Including Compliance Rule Documentation
The Fifth Circuit Court of Appeals vacated the entire final rule package of the private fund adviser rules (Final Rule). All rules in the package, Private Fund Adviser Audits, Private Fund Quarterly Statements, Private Fund Adviser Restricted Activities, Adviser-Led Secondaries, and Preferential Treatment – are vacated.
June 05, 2024
Tags: Private Equity, Private Funds