Legal, Reglatory & Compliance This section is organized by sbject matter index. For each sbstantive topic, the site incldes any IAA gidance on the sbject (inclding any relevant compliance control...
November 27, 2017
2017 IAA MiFID II Implementation Conference Registration
Please use this interactive PDF registration form to register for the conference. Location Yale Club of New York City 50 Vanderbilt Ave. (between 44th & 45th Streets) New York NY 10017...
August 29, 2017
2017 MiFID II Implementation Conference Agenda
This conference, and accompanying buyside only workshop, will examine the remaining obstacles for the buyside to implementation of requirements under MiFID II, the effects of changes to key requirements for...
August 29, 2017
2017 MiFID II Implementation Conference Agenda
This conference, and accompanying byside only workshop, will examine the remaining obstacles for the byside to implementation of reqirements nder MiFID II, the effects of changes to key reqirements for...
August 29, 2017
Statement of President and CEO
Contact: Herb Perone 202.507.7215 herb.perone@investmentadviser.org Statement of Investment Adviser Association President & CEO Karen Barr on H.R. 5424, the Investment Advisers Modernization Act of 2016 Washington, DC (June 13, 2016)...
July 19, 2017
H.R. 5424, the “Investment Advisers Modernization Act of 2016” The Investment Adviser Association (IAA) strongly supports H.R. 5424, the “Investment Advisers Modernization Act of 2016,” introduced on June 9 by...
July 19, 2017
Syndicated Content for Past Other Webinars
2014 Webinar – How to Leverage Yor Leadership Style : 11/20/2014 2:00 PM – 11/20/2014 3:15 PM 2014 Webinar – Fact from Fiction: What Byers and Sellers Need to Know abot...
July 19, 2017
Syndicated Content for Past IAA Legal, Regulatory and Compliance Webinars
2011 Webinar – Are Yo a Large Trader? The Answer May Srprise Yo. What Yo Shold Know if Yo Are a Large Trader.: 11/10/2011 1:00 pm – 11/10/2011 2:15 pm...
July 19, 2017
Syndicated International Issues Header
AIFMD Cross Border Derivatives Reglations EMIR Exective Compensation/Remneration FATCA FBAR FCPA and K Bribery Act Foreign Investing for S Advisers International Registration Reqirements MiFID Short Selling Soft Dollars State Restrictions...
July 19, 2017