19_CWMaterials.pdf 2019 Compliance Workshops Conference Materials Thank yo for participating in the IAA’s Compliance Workshop Series. Workshop materials will be provided electronically only. They are available here as one PDF, or...
October 07, 2019
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Advertising Advisory and Sb-Advisory Contracts, Accont Opening, Procedres AML/OFAC Books and Recordkeeping Reqirements, inclding Email Brokerage & Trading Bsiness Continity Class Actions Codes of Ethics Compliance Programs and Controls Cstody...
September 30, 2019
2019 Leadership Conference Agenda
2019 Leadership Conference Agenda Wednesday, September 25 9:00am – 1:00pm Board of Governors Meeting 1:30 – 5:00pm Registration & Committee Meetings 2:00 – 4:30pm Limited Attendance Executive Roundtables Human Resources...
September 23, 2019
2019 Leadership Conference Speaker Bios
2019 Leadership Conference Speaker Biographies Richard Adler is the founder of Red Arrow Capital, a strategic consulting practice serving investment and wealth management firms. He has two decades of experience...
September 19, 2019
Leadership Conference Sponsors & Exhibitors Opening Reception Sponsor Fidelity Clearing & Custody Solutions® provides a comprehensive clearing and custody platform, brokerage services, trading capabilities and practice management and consulting to...
September 16, 2019
Adviser Advocacy Day Policy Priorities IAA 2019 Policy Priorities Investment Advisers Act The statutory framework of the Investment Advisers Act of 1940 has proven remarkably robust in protecting investors while...
September 03, 2019
Hoston Workshop Speakers Michael Gnst is Assistant Director at the SEC’s Dallas/Fort Worth Regional Office, where he focses on Investment Adviser/Investment Company examinations. Mr. Gnst joined the Commission in 2003 in...
August 26, 2019
IAA Registration FAQs (Frequently Asked Questions) Thank you for your interest in the IAA’s Events. Below are some frequently asked questions regarding our online event registration. If you have any questions not...
August 07, 2019
Compliance Workshops and Speakers Washington, DC Philadelphia New York Hoston Atlanta Los Angeles San Francisco Chicago Boston
August 02, 2019
Research Spotlight | Measuring Active Managers’ Value Added
Berk and van Binsbergen find that the average mutual fund generates about $3.2 million per year in value added for investors.
July 10, 2019
Tags: Active Management, Active Managers Council , Performance