Category: Press Release
IAA Submits Second Comment Letter on Overly Burdensome Outsourcing Proposal
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Proposal is not adequately tailored to the range of firms it covers. April 20, 2023 (Washington, D.C.) The Investment Adviser Association...
April 20, 2023
IAA Statement: FTC Non-Compete Clause Proposal
Media Contact IAA VP of Communications & Marketing Janay Rickwalder | 703-357-3918 From Gail Bernstein, IAA General Counsel While the Investment Adviser Association supports the objective of protecting the interests...
April 17, 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
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
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