Category: Press Release
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 SEC Adoption of Final Rules Regulating Private Fund Advisers
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Today, the SEC adopted the most significant changes to the regulation of advisers to private funds since the Dodd-Frank Act in...
August 23, 2023
IAA Statement: SEC Proposal on Protection of Client Information
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Attribution to Gail Bernstein, IAA General Counsel The Investment Adviser Association remains committed to supporting efforts by the SEC to protect...
June 05, 2023
Press Statement on IAA Comment Letter on SEC’s Proposal on Safeguarding Advisory Client Assets
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Attribution to Gail Bernstein, IAA General Counsel Yesterday, the Investment Adviser Association (IAA) submitted a comment letter urging the SEC to...
May 09, 2023
IAA Statement: Regulation S-P Proposal
Information security is a critically important issue for investment advisers and their clients. Our members take their information security responsibilities very seriously and want to get it right. We welcome...
March 15, 2023
IAA Statement: Reopening of the SEC’s Cybersecurity Proposal
The IAA appreciates that the SEC has heard us on the interrelatedness of its current proposals and is reopening the comment period on its cybersecurity proposal. We’re assessing the potential implications...
March 15, 2023
IAA Statement: The SEC’s Final T+1 Rules
The Investment Adviser Association supports the SEC’s decision today to finalize rules to shorten the standard settlement cycle, but we have some concerns with how the final rules will affect...
February 15, 2023
IAA Statement: The SEC’s Custody Proposal
The Investment Adviser Association agrees with the SEC that safeguarding client assets is of paramount importance and we also agree that the current rule is in need of modernization. The...
February 15, 2023
IAA Statement: Removal of AML Provisions from the Enablers Act
The Investment Adviser Association is very pleased that the ENABLERS Act provisions that were added by the House and would have imposed AML regulation on investment advisers have been dropped from the...
December 07, 2022
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