Category: IAA Today
Here’s What You Need to Know About the Busy DOL Regulatory Agenda
The Department of Labor announces updates on key retirement and worker classification regulations, including finalized procedures for exemption applications, auto-portability of retirement proposal, reporting review, and a new independent contractor rule.
January 29, 2024
SEC Reports Record Year for Its Whistleblower Program
This article discusses the impacts of the SEC’s Whistleblower Program and Rule on investment advisers.
January 10, 2024
Tags: SEC Enforcement, Whistleblower
IAA Statement on the Department of Labor’s Fiduciary Advice Proposal
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association filed comments earlier today in response to the Department of Labor’s proposal to revise its definition...
January 03, 2024
DOL’s Proposed Changes to Fiduciary Rule and Rollover Exemption – What You Need to Know
The IAA has recommended changes to the DOL’s proposed new Investment Advice Definition and related exemption PTE 2020-02.
January 02, 2024
Tags: DOL, ERISA, Fiduciary, PTE 2020-02
Research Spotlight | Using AI to Identify Skilled Managers
A new study confirms that investors can identify skilled managers in advance and that they reallocate their investment dollars towards those skilled managers.
December 11, 2023
Tags: Active Management, Active Managers Council , AI, Artificial Intelligence , Skill
CCO Liability: Enforcement Director Speech & Update
This article discusses the issue of CCO liability.
December 08, 2023
Tags: CCO, Compliance, SEC Enforcement
The Proposed DOL Fiduciary Rule: Significant Changes for Advisers
This article discusses the DOL’s November 2023 proposed fiduciary rule amendments, including proposed amendments to Prohibited Transaction Exemption (PTE) 2020-02, and their impact on SEC-registered investment advisers.
November 30, 2023
Webinar Recap: What’s Driving Growth in Active ETFs?
After years in the shadows, active ETFs are having their day in the sun. Recently, experts from three IAA member firms gathered to discuss what’s behind the proliferation and rapid adoption of active ETFs. Here’s what you might have missed.
November 03, 2023
Tags: Active Management, Active Managers Council , ETFs
Webinar Recap: What’s Driving Growth in Active ETFs?
After years in the shadows, active ETFs are having their day in the sun. Recently, experts from three IAA member firms gathered to discuss what’s behind the proliferation and rapid adoption of active ETFs. Here’s what you might have missed.
November 03, 2023
Retirement Security Rule Proposal Statement
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association strongly supports efforts to bolster Americans’ retirement savings, including efforts to expand access to retirement plans and...
November 01, 2023
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