Tag: Columns
Considerations When Drafting an ESG 80% Policy
Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.
February 14, 2022
Tags: Columns, Compliance, Compliance Policies, Disclosure, ESG, Gary Gensler, Names Rule
Fiduciary Duty and Investments in DC Plans | Three Tips for Plan Sponsors
Plan fiduciaries are charged with acting in the best interests of plan participants. What does that mean in practice, especially when it comes to selecting investments for defined contribution plans?
November 22, 2021
Tags: Active Managers Council , Columns, Fiduciary, Retirement Plans
Common Triggers of Risk-Based Regulatory Exams and Practice Tips to Avoid Them
Regulatory exams can be painful - and disruptive. The key to avoid being ID'd as a high-risk firm and subject of an exam is to understand the current regulatory red flags.
November 29, 2021
Tags: Columns, SEC Examinations
“The Workplace Must Become a Magnet” – Three Trends in the Future of Work
Three industry experts explore the post-pandemic challenges of sustaining culture, performance, and employee and client satisfaction amidst a sea of expectations and needs.
October 25, 2021
Tags: Columns, COVID-19, Human Resources, Takeaways
High Tech in High Finance | SEC’s FinHub, Compliance Automation
High Tech in High Finance | SEC’s FinHub, Compliance Automation April 19,2021 As in other industries, technological change is driving innovation in asset management. At the 2021 IAA Investment...
April 19, 2021
Tags: FinTech, Columns, Compliance Conference
Seven Tips for Preparing for an SEC Exam
Compliance Conference Takeaways While the pandemic has slowed down much of life, it has had little impact on one of the bigger challenges that an investment advisory compliance effort will...
March 30, 2021
Tags: Columns, Compliance Conference, Examinations, Form CRS, Takeaways
Getting Proactive on ESG: Five Tips for Advisers
Getting Proactive on ESG: Five Tips for Advisers January 5, 2021 Environmental, social, and governance: three factors that have become the focus of attention in the investment world. But where...
January 05, 2021
Tags: Active Managers Council , Columns, ESG, Takeaways
Accurately Measuring the Success Rate of Active Funds
Accurately Measuring the Success Rate of Active Funds January 26, 2021 Any assessment of the value of active management starts with a measurement of its success in generating returns...
January 26, 2021
Tags: Active Management, Active Managers Council , Columns, Takeaways
From the President & CEO: Welcome to 2021
Welcome to 2021 and the 21st Century! Finally, Advisers Can Enter the Modern Marketing Age January 6, 2021 Persistence pays off. Literally for decades, the IAA and our members have...
January 06, 2021
Tags: Advertising Rule, Columns, From the President & CEO, Karen Barr, Marketing Rule
IT Pros Discuss Top Five Tech Priorities
IT Pros Discuss Top Five Tech Priorities December 9, 2020 Investment technology is an increasingly important part of both the value proposition and the cost equation for an asset management...
December 09, 2020
Tags: Business Operations, Columns, Leadership Conference, Takeaways, Technology
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