IAA webinars address important legal, regulatory, and compliance topics for investment advisers.
Gain practical insights on challenging legal and regulatory issues affecting SEC-registered investment advisers.
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.
Summary results of 730 SEC-registered advisers who responded to the 2016 survey provide insights for compliance benchmarking and best practices.
This 17th annual report provides an overview of the investment advisory industry and its emerging trends.
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 2016 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, ACA Insight, and Old Mutual Asset Management 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, NRS Release 2017 Evolution Revolution Report
IAA Releases New Corporate Video
IAA Comment Letter on GIPS 20/20 Consultation Paper
IAA Letter to SEC re: Regulation of Registered Investment Advisers
IAA Publishes DOL Fiduciary Rollover Recommendation Checklist
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.