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 IAA, together with the Certified Financial Planner Board of Standards, Inc., the Financial Planning Association, the National Association of Personal Financial Advisors, and TD Ameritrade Institutional, commissioned the BCG study to determine the costs of the options outlined in the SEC’s Dodd-Frank Act Section 914 report on increasing the frequency of investment adviser examinations.
The BCG report analyzes the costs of: 1) increasing the level of SEC examinations; 2) set-up and operation of an investment adviser SRO by the Financial Industry Regulatory Authority (FINRA); and 3) set-up and operation of an entirely new SRO for advisers. BCG’s economic analysis was based on the assumption that advisers would be examined by the SEC or SRO on average once every four years. If you have any questions about the above, please contact IAA Vice President for Government Relations Neil Simon at firstname.lastname@example.org.
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.
The Investment Adviser Association and National Regulatory Services conduct an annual report that profiles the investment adviser profession. The report is based on information filed by SEC-registered investment advisers electronically on Form ADV, Part 1. The reports contain data on the number of registered advisory firms (including newly registered hedge fund advisers), assets under management, employees, advisory and other business activities, types of advisory clients, compensation, custody, and financial industry affiliations. For more information please contact the IAA.
The IAA Board of Governors is pleased to present annual Activity Reports of the Investment Adviser Association. The reports highlight the Association's significant efforts and accomplishments in the areas of advocacy, compliance, education, and services.
The Asset Management Operations and Compensation Survey is conducted by the Advent Users Group (AUG), an independent non-profit organization comprised of investment professionals. The IAA co-sponsors the survey, viewing it as a potential tool that IAA members could use to evaluate firm operational and compensation practices. The survey and its results focus on firm attributes, technology and operations, and human capital. Survey highlights are available below; full results are provided for survey participants. For more information, please contact IAA VP, Communications and Marketing, Herb Perone, at (202) 293-4222 or email@example.com.
At the end of 2005 and 2010, the Investment Adviser Association conducted a membership satisfaction survey. IAA members may download the report for a full description of the Survey's methodology, findings, and data.
IAA, ICI Joint Comment Letter on Nevada’s Effort to Regulate SEC-Registered Advisers
IAA Comment Letter on CFTC's "Project KISS"
IAA Comment Letter on Volcker Rule
New IAA Video: The Value of IAA Membership
IAA to SEC: Preserve Advisers' Fiduciary Standard, Impose Equivalent Standard on Broker-Dealers
IAA Letter to SEC Re: Standards of Conduct for Investment Advisers and Broker-Dealers
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