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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.
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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.
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— 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.
Discussion of Draft Comment Letter. Forum members discussed a draft comment letter on proposed amendments to the Volcker Rule, offering feedback on the arguments to be made and their consistency with those of other industry groups. The comments recommend exclusions or greater clarity with respect to certain activities that may be captured by the Volcker Rule. For example, activities relating to managers of registered funds and foreign funds, as well as seeding an exploratory product or strategy using the manager’s own capital. The comment period has been extended to October 17.
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 launches Active Managers Council Web Portal
2018 Ev Rev: Record Number of Advisers, Record AUM, Record Employment
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
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