IAA Today

Brett Redfearn

Highlights from the IAA/CMS Trading and Best Exection Smmit: Market Strctre Changes and IAs’ Trading, Best Ex Obligations The IAA’s second annal Trading and Best Exection Smmit, cosponsored by Capital...

December 01, 2020

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Brad Sherman

Rep. Brad Sherman Elected Chairman of Capital Markets Sbcommittee The Hose Financial Services Committee has annonced that Congressman Brad Sherman (D-Calif.) has been elected as chairman of the Sbcommittee on...

December 01, 2020

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BCP

2020 Investment Management Compliance Testing Survey: BCP Related to COVID-19 Now Top Compliance Concern Business Continuity Planning related to COVID-19 is now the top concern of investment management compliance professionals...

December 01, 2020

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Bankruptcy

NY Federal Cort: Interests in Syndicated Loans are Not Secrities A grop of banks in a lending syndicate scceeded in the .S. District Cort for the Sothern District of New...

December 01, 2020

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Asset Management

SEC Asset Management Advisory Committee’s First Meeting Set for Janary 14  The Asset Management Advisory Committee – formed recently to help the SEC refine its reglatory approach in the face...

December 01, 2020

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Advisory Fees

Common Pitfalls in Advisory Billing Practices – A Focs on Fees and Expenses To no one’s srprise, the topics of advisory fees, billing practices, and valation contine to be at...

December 01, 2020

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Adviser Advocacy Day

Adviser Advocacy Day to Focus on Tax, Privacy and Electronic Disclosure Issues The IAA encourages advisory firm executives to join us in Washington, DC on June 11 for our 13th...

December 01, 2020

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