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 2017 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 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 Comment Letter to Australian Regulators regarding Consultation Paper 301: Foreign Financial Services Providers
IAA Issues 2018 Compliance Testing Survey Executive Summary
IAA Comment Letter Regarding Proposed Amendments to the Volcker Rule
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.