Overview of IAA Resources
The IAA provides regular members with a full range of advocacy, compliance and educational resources
- IAA Legal Team – Discuss your specific issues with our knowledgeable attorneys. You will receive practical information on a variety of regulatory and compliance matters, such as Form ADV, custody, pay to play, whistleblower, codes of ethics, privacy, state filing issues, and much more.
- Adviser Advocacy – Participate in efforts with fellow IAA members to educate legislators and regulators about the specific concerns of investment adviser firms.
- Legal and Regulatory Resources – Access the IAA’s comprehensive online library. The searchable database covers 29 major topic areas, providing outlines and articles prepared by industry experts, as well as links to relevant rules and IAA guidance. Subject areas include advertising, advisory agreements, soft dollars, anti-money laundering, hedge funds, private equity funds, wrap fee arrangements, proxy voting, and more.
- Compliance Guides – Obtain practical information to build a successful compliance program for your firm. IAA resource materials and documents will help your firm prepare for SEC exams and assist your staff in drafting policies and procedures.
- Interaction with Policymakers – Meet with policymakers to discuss and advise about regulatory issues that directly affect investment advisers. The IAA has long-standing relationships with the SEC, DOL, CFTC, Treasury, and other federal, state, and international regulators.
- Comment Letters and Statements – Gain a clear-cut understanding of changing legislative, regulatory, and policy issues. IAA thoroughly researches the issues that can impact your firm and communicates its views through Congressional testimony, comment letters, and other reports and position papers.
- Educational Programs – Participate in the IAA’s high-value educational offerings, including workshops, conferences, and webinars, at discounted member rates. In addition to gaining in-depth knowledge on timely and relevant topics of special interest to investment advisers, you’ll have the opportunity to participate in forums and networking activities.
- News and Alerts – Stay current on industry news that can impact you and your firm. The IAA’s monthly newsletter provides timely articles on industry issues; legal, regulatory and compliance updates; updates on advocacy and government relations activities; and much more. You’ll also receive exclusive email alerts to keep you updated on breaking industry news.
- Publications Library – Retrieve current and archived IAA newsletters, member alerts, reports, surveys, comment letters, and other publications.
- Networking and Online Forums – Connect with your peers at other IAA member firms. IAA’s events and online forums enable you to exchange ideas and share insights about dealing with unique challenges that advisers face.
- Committees and Working Groups – Participate on an IAA committee or working group with other members who share a common interest. Participants usually meet via conference calls to exchange information, discuss best practices, and hear from guest speakers. (View the list of committees.)
- Industry Leadership – Shape the future of the Association and the investment advisory profession. The IAA gives members the opportunity to contribute their time and talent as committee participants and leaders.
- Industry Certifications – Achieve industry recognition through the IAA’s Chartered Investment Counselor (CIC) program. The IAA also co-sponsors the Investment Adviser Certified Compliance Professional (IACCP) designation.