FTC Bans Most Worker Noncompete Clauses
Employers must notify workers that most existing non-compete clauses are unenforceable.
April 24, 2024
Tags: Employment, FTC, Non-Compete
Changes to DOL’s Fiduciary Rule and Rollover Exemption
The DOL has finalized changes to its Investment Advice Definition and related prohibited transaction exemption (PTE 2020-02).
April 24, 2024
Tags: DOL, ERISA, Fiduciary, PTE 2020-02
IAA Statement on FTC Rulemaking
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Statement from Gail Bernstein, IAA General Counsel The FTC voted on Tuesday to finalize its rulemaking that would generally prohibit employers from using...
April 24, 2024
IAA Statement on AML Proposal for Investment Advisers
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Statement from Gail Bernstein, IAA General Counsel The Investment Adviser Association fully supports efforts to combat money laundering and terrorist financing, but additions...
April 15, 2024
Pushback on Aggressive SEC Agenda
In a panel at the 2024 IAA Investment Adviser Compliance Conference, industry experts provided insights on how trends in Washington will affect investment advisers.
April 11, 2024
Tags: Advocacy, Compliance Conference, ESG, Inside the Beltway
Research Spotlight | The Case for the Active Management of Bond Funds
A new study finds that “active bond funds tend to add value,” leading the authors to conclude that “there are strong, rational reasons for investors to consider active bond funds.”
April 05, 2024
Tags: Active Management, Active Managers Council , Bonds, Fixed Income
Highlights from SEC Speaks Conference
Senior SEC staff discuss current priorities and initiatives at the SEC Speaks conference.
April 05, 2024
Tags: SEC Enforcement, SEC Examinations, SEC Investment Management
Changes to DOL’s QPAM Exemption: What You Need to Know
The DOL has finalized changes to its Qualified Professional Asset Manager (QPAM) Exemption, making some significant changes from the proposal.
April 02, 2024
DEI in the Advisory World: Where to from Here?
Earlier this year, Rob Burks and Ritu Bhasin joined the IAA for a webinar to talk about diversity, equity, inclusion, and belonging (DEIB) best practices in 2024.
April 01, 2024
Tags: Diversity & Inclusion
Risk Alert and FAQs on T+1 – Shortening the Trade Settlement Cycle
SEC staff issues Risk Alert and FAQs on T+1 transition.
March 28, 2024
Tags: Recordkeeping, Securities settlement, T+1