Summary results of hundreds of SEC-registered advisers who responded to our 2018 survey provide insights for compliance benchmarking and best practices.
This 18th annual report provides and overview of the investment advisory industry and its emerging trends.
IAA webinars address important legal, regulatory, and compliance topics for investment advisers.
A comprehensive two-day program packed with the most current information on the changing regulatory landscape.
Briefing webinars inform IAA members about the latest regulatory developments affecting SEC-registered investment advisers.
The IAA's monthly newsletter is packed with articles on current legal, regulatory and compliance matters that are of special interest to investment advisers.
The IAA's directory of service providers, enables IAA members to search for firms in more than 20 categories. This extensive list includes both IAA Associate Members and non-members.
The IAA's more than 600 member firms collectively manage $19 trillion for a variety of individual and institutional clients.
IAA webinars address hot topics for advisory professionals. See the library of recordings that are now available.
Connect with like-minded advisory professionals in the IAA membership to exchange ideas and share experiences.
The IAA exclusively serves SEC-registered investment advisory firms and their employees with a wide range of compliance, education, and advocacy resources.
"The IAA is our CCO's first stop for information on compliance matters through its online material and access to its legal team."
— CEO, $1.2B AUM
The 2018 Year in Review provides an overview of the Association and its accomplishment during the year.
Registered investment advisers abide by principles of fiduciary duty that put the client first. These principles are incorporated in the Standards of Practice endorsed by IAA members.
Washington, DC (August 25, 2015) – Following is the statement of Karen L. Barr, President & CEO of the Investment Adviser Association, on FinCen’s proposal for AML regulations for SEC-registered investment Advisers:
“The IAA recognizes the importance of detecting and preventing money laundering. Many advisers, particularly those affiliated with banks or broker dealers, have voluntarily implemented AML procedures. That said, the advisory business poses little risk in this area. We will be looking at today’s proposed rules with an eye toward whether the expected benefits of the proposed regulation justify its compliance costs, particularly with regard to smaller firms.”
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About Investment Adviser Association
The Investment Adviser Association (IAA) is the leading trade association representing the interests of SEC-registered investment adviser firms. The IAA’s more than 550 member firms collectively manage assets in excess of $16 trillion for a wide variety of institutional and individual investors. In addition to serving as the voice of the advisory profession on Capitol Hill and before the SEC, DOL, CFTC and other U.S. and international regulators, the IAA provides extensive compliance and educational services to its membership. For more information, visit www.investmentadviser.org or follow us on LinkedIn and Twitter.
IAA Comments on GIPS 2020 Exposure Draft
IAA to SEC: SEC Staff Roundtable on the Proxy Process
IAA to SEC: Regulatory Flexibility Act
IAA 2018 Year in Review
IAA Letter to CFTC re: Registration and Compliance Requirements for CPOs and CTAs
IAA to SEC: Investor Testing of Proposed Form CRS Is Flawed
IAA to Senate Banking Committee: Focus on Proxy System Weaknesses, not Proxy Advisory Firms
IAA launches Active Managers Council Web Portal
Find out how you can join the more than 600 SEC-registered firms that are members of the IAA and start accessing our full range of advocacy, compliance and educational resources.