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.
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 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.
Proposed Amendments to the Volcker Rule. Forum members discussed potential comments on proposed amendments to the Volcker Rule with respect to issues that directly affect investment advisers that are affiliated with banks. The amendments would provide some relief from the Volcker Rule for such advisers that do not have significant trading assets and liabilities, and the amendments would also broaden permitted market making and hedging activities in covered funds by advisers to these covered funds. The proposal also requests comment on whether the definition of “covered fund” should be tailored further and contain additional exclusions, and whether certain exemptions from restrictions on certain inter-affiliate transactions should be incorporated.
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IAA Comments to SEC Re Standard of Conduct Proposals
IAA Comment Letter to SEC Regarding “Enhancing Investment Adviser Regulation”
IAA’s 2018 Executive Outlook Survey Shows Optimism About Business Prospects, Economy
2018 Compliance Testing Survey Results
IAA Asks SEC to Extend Comment Deadline for Fiduciary/Standard of Conduct Proposals for Investor Testing
IAA Comments on SEC Proposal to Amend Disclosure Requirements Related to New Liquidity Risk Management Rule
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