Category: Press Release
Sweeping Victory for Investment Advisers in MO Preemption Case
Contact: IAA VP of Communications & Marketing Janay Rickwalder A federal district court in Missouri has handed SEC-registered investment advisers a sweeping victory in a case that directly addresses whether states...
August 14, 2024
SEC Marketing Rule: New CFA Institute and IAA Survey Clarifies How Firms are Complying
Contacts: CFA Institute at PR@cfainstitute.org or the IAA at sanjay.lamba@investmentadviser.org. CFA Institute and the Investment Adviser Association have released the findings of a new survey on the compliance practices of...
August 06, 2024
IAA Comments on Customer Identification Program Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s and SEC’s jointly proposed Customer ID Program rule for investment advisers.
July 22, 2024
Washington, DC (July 16, 2024) – Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published...
July 16, 2024
IAA Submits Amicus Brief Opposing Improper State Regulation of SEC-Registered Investment Advisers
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association has submitted a “friend of the court” (or amicus) brief in a lawsuit filed in federal court in Missouri....
June 26, 2024
2024 Investment Adviser Industry Snapshot Shows Increase in Demand for Adviser Services
Contacts: Janay Rickwalder, CAE Investment Adviser Association 703-357-3918 janay.rickwalder@investmentadviser.org Brianna Fredriksen COMPLY 302-593-5404 bfredriksen@comply.com Washington, D.C./New York – June 20, 2024 – The number of SEC-registered investment advisers reached...
June 20, 2024
IAA Statement on Potential Re-Proposal of Rules
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The IAA is pleased that the SEC may modify and re-propose the safeguarding rule and predictive data analytics rule in light of the...
May 16, 2024
IAA Statement on FinCEN / SEC Joint Proposed Rulemaking
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Statement from Gail Bernstein, IAA General Counsel The Financial Crimes Enforcement Network (FinCEN) and the SEC jointly released a Notice of Proposed Rulemaking...
May 13, 2024
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Washington, D.C./New York – The number of SEC-registered investment advisers reached a record high in 2023, according to preliminary data from the Investment...
May 01, 2024
IAA Statement on the Department of Labor’s Fiduciary Advice Rule
Contact: IAA VP of Communications & Marketing Janay Rickwalder. On Tuesday, the Department released a final amendment to the definition of “fiduciary advice” under ERISA and related exemptions. The Investment Adviser Association...
April 24, 2024
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
