IAA Today

Compliance Corner

Dealing with the New Derivatives Rule:A Guide for Legal and Compliance Professionals By Stephen A. Keen and Andrew P. Cross, Perkins Coie LLP In October 2020, the U.S. Securities and...

September 09, 2021

Read More

Stragetic Partnerships

IAA, ACA Grop Annonce Strategic Partnership The Investment Adviser Association has entered into a strategic partnership with ACA Grop (ACA), a leading provider of governance, risk, and compliance (GRC) advisory...

September 08, 2021

Read More

ACA Group

IAA, ACA Grop Annonce Strategic Partnership The Investment Adviser Association has entered into a strategic partnership with ACA Grop (ACA), a leading provider of governance, risk, and compliance (GRC) advisory...

September 08, 2021

Read More

Cybersecurity

SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Exposed PII of Thousands of Clients Two SEC-registered investment advisers, four dual registrants, and two broker-dealers have paid...

September 07, 2021

Read More

Digital Assets

SEC’s Gensler Addresses FinTech Priorities Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral Observing that “[n]ew financial technologies continue to change the face of finance for investors and businesses” globally,...

September 07, 2021

Read More

Robo

SEC Requests Comment on Adviser Digital Engagement Practices  The SEC is requesting information and public comment on the use of digital engagement practices by broker-dealers and investment advisers, including behavioral...

September 07, 2021

Read More

Digital Advice

SEC Requests Comment on Adviser Digital Engagement Practices  The SEC is requesting information and public comment on the use of digital engagement practices by broker-dealers and investment advisers, including behavioral...

September 07, 2021

Read More

Leadership Conference

We Wanted So Badly to See You in Person! It would be difficult to overstate our excitement here at the IAA at the prospect of holding our upcoming 2021 Leadership...

August 30, 2021

Read More

Hester Peirce

Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule CorpFin Delays Enforcement Recommendations for Now; Two Commissioners Object In a highly anticipated move, SEC Chair Gary Gensler has...

August 25, 2021

Read More