Category: IAA Today
DOL Proposes Updated Definition of Investment Advice Fiduciary
The Department of Labor (DOL) has issued a proposal to update the definition of an investment advice fiduciary under the Employee Retirement Income Security Act (ERISA). The updated definition of an investment advice fiduciary would apply when a financial service provider gives investment advice for a fee to retirement plan participants, IRA owners and others.
November 01, 2023
Tags: DOL, ERISA, Fiduciary, IRAs, Retirement Plans
IAA Submits Additional Comments on SEC’s Safeguarding Proposal
The IAA has submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
October 30, 2023
Tags: Custody, Safeguarding, SEC
IAA Submits Second Comment Letter on Safeguarding Proposal
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Yesterday, the IAA submitted a supplemental comment letter on the SEC’s proposal relating to the safeguarding of advisory client assets. We...
October 30, 2023
Join IAA Workstreams on SEC and Other Proposed Rulemaking
It continues to be a very active period for SEC and other regulators’ proposed rulemaking. A link to all SEC proposals is available here. We encourage you and your colleagues...
October 21, 2023
SEC Publishes 2024 Examination Priorities
SEC’s 2024 examination priorities include fiduciary duty, disclosure of material facts relating to conflicts of interest, advertising practices, and more.
October 17, 2023
Tags: Fiduciary, Private Funds, SEC Examinations
IAA Opposes SEC Predictive Data Analytics Proposal
The IAA submitted a comment letter to the SEC requesting that the agency withdraw its proposed rules regarding potential conflicts of interest associated with the use of predictive data analytics and other technologies by advisers in investor interactions.
October 10, 2023
Tags: Artificial Intelligence , Conflicts of Interest, Predictive Data Analytics
SEC Amends Beneficial Ownership Rules
The SEC adopted amendments to rules governing beneficial ownership reporting, including shorter deadlines for initial and amended Schedule 13D and 13G filings.
October 10, 2023
Tags: 13D, 13G, Beneficial Ownership
IAA Statement: Predictive Data Analytics
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association is calling on the SEC to withdraw its recent proposal regarding potential conflicts of interest associated with...
October 10, 2023
A Lively Gathering in Chicago: IAA’s 2023 Midwest Leadership Forum
On September 27, the IAA was pleased to welcome senior leaders from member firms to the University Club in Chicago for a half-day, content-packed program focusing on business topics identified as top priorities for the advisory industry.
October 06, 2023
Tags: AI, Artificial Intelligence , Diversity & Inclusion, Human Resources, Leadership Conference
IAA Statement: SEC Rulemaking Agenda
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The SEC’s rulemaking agenda is unprecedented in several ways. The rulemaking that followed the financial crisis was directly in response to...
October 05, 2023
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