Summary results of hundreds of SEC-registered advisers who responded to our 2018 survey provide insights for compliance benchmarking and best practices.
This 19th 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.
Regulatory, technological and business developments impacting trading, best execution and research.
Briefing webinars inform IAA members about the latest regulatory developments affecting SEC-registered investment advisers.
Our online, members-only newsletter is regulatory updated with content on business, legal, regulatory, compliance and advocacy issues 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.
The Investment Adviser Association, ACA Compliance Group, and ACA Insight conduct an annual online survey of compliance professionals. Based on the survey results, the reports identify the types of compliance testing practices and strategies investment adviser firms are using in the areas of annual reviews, personal trading, gifts and entertainment, political and charitable contributions, insider trading, soft dollars, trade allocation, business continuity, and books and records.
For more information, contact the IAA.
IAA Today (online newsletter)
Active Managers Council
Coronavirus Response Resources
IAA Letter to DOL Regarding Fiduciary Proposal
IAA Letter to CFTC Regarding Initial Margin for Uncleared Swaps
IAA Letter to DOL Regarding ESG Proposal
IAA Letter to SEC Regarding Good Faith Determinations of Fair Value
IAA Letter to SEC Regarding Solicitation
IAA Letter to DOL Requesting Extension of Comment Letter Period on ESG Proposal
IAA/CMS 2020 Trading Summit Session Recordings
Webinar Recording: Uncharted Waters: Navigating Advisory Office Re-Entry
Webinar Recording: Preparing for M&A Post Pandemic: What's Different, What's Not
2019 Evolution Revolution Report
Either the content you're seeking doesn't exist or it requires proper authentication before viewing.
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.