Category: Press Release
IAA Statement: DOL’s Final ESG Rule
The IAA commends the DOL for its efforts to address uncertainties regarding how fiduciaries may consider ESG issues, including climate-related financial risk, in making investment and proxy voting decisions. The...
November 22, 2022
IAA Statement: Confusion About the Marketing Rule and Form ADV
We understand that there appears to be some confusion regarding an adviser’s obligations with respect to Form ADV filings after the November 4th compliance date. The confusion likely stems from emails the SEC...
November 11, 2022
IAA Statement: The SEC’s Outsourcing Proposal
Our initial take on the SEC’s proposed new oversight requirements for services outsourced by investment advisers is that the proposed rules are overly burdensome and prescriptive and fail to recognize...
October 26, 2022
IAA Supports SEC’s ESG Proposal, Recommends Improvements
Media Contact IAA VP of Communications & Marketing Janay Rickwalder | 703-357-3918 August 16, 2022 (Washington, D.C.) – The Investment Adviser Association (IAA) submitted a comment letter today to...
August 16, 2022
IAA to Host Inaugural Policy & Leadership Forum
Media Contact IAA VP of Communications & Marketing Janay Rickwalder | 703-357-3918 New event brings together senior firm executives to discuss critical issues facing the investment adviser industry August 8,...
August 09, 2022
Investment Adviser Association Celebrates 85th Anniversary
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Washington, DC (July 27, 2022) – Today marks the 85th anniversary of the Investment Adviser Association (IAA), a non-profit organization that...
July 27, 2022
SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Most firms report strong compliance programs and effective business continuity plans Washington, DC (June 29, 2022) – For the second year...
June 30, 2022
IAA, NRS Investment Adviser Industry Snapshot Confirms Sector Growth of 16.7% Year-Over-Year
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Annual industry survey cites demand for adviser services surges as number of advisers, clients and assets under management reach record highs...
June 23, 2022
IAA Comments on SEC’s ESG Issuer Proposal
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Washington, DC (June 21, 2022) – The Investment Adviser Association (IAA) submitted a letter to the SEC commending its proposal to enhance and...
June 21, 2022
IAA Opposes SEC’s Private Fund Advisers Proposal; Offers More Tailored Alternatives
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Washington, DC (April 26, 2022) – Yesterday, the Investment Adviser Association (IAA) submitted a letter to the SEC largely opposing...
April 26, 2022
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