Category: Press Release
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
IAA Statement on FTC Rulemaking
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Statement from Gail Bernstein, IAA General Counsel The FTC voted on Tuesday to finalize its rulemaking that would generally prohibit employers from using...
April 24, 2024
IAA Statement on AML Proposal for Investment Advisers
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Statement from Gail Bernstein, IAA General Counsel The Investment Adviser Association fully supports efforts to combat money laundering and terrorist financing, but additions...
April 15, 2024
IAA Statement on Amendments to the SEC’s Internet Adviser Rule
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Registration and regulation of investment advisers is generally divided between the SEC and the States. Advisers with under a certain threshold in assets...
March 27, 2024
IAA Statement on Issuer Climate Rule
Contact: IAA VP of Communications & Marketing Janay Rickwalder. From Gail Bernstein, IAA General Counsel: The Investment Adviser Association supports disclosures by public companies that are decision useful for investment advisers in...
March 06, 2024
IAA Statement on the Treasury Department’s AML Proposed Rule
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association fully supports efforts to combat money laundering and terrorist financing, but these efforts must be risk-based and designed...
February 13, 2024
IAA Statement on the SEC’s Final Rules on the Further Definition of Dealer
Contact: IAA VP of Communications & Marketing Janay Rickwalder. By a 3-2 vote, the SEC has adopted new rules that would for the first time require dealer registration for certain private funds...
February 06, 2024
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