Compliance & Operations

Compliance and Business Development Resources

The IAA is here to help our members manage their businesses successfully while mitigating risk. We provide resources and guidance on topics including compliance, reporting, account operations, business operations, human resources, and more.

“The resources are world-class. This is the go-to resources for a firm looking for ongoing education to stay up to speed with developments in our field.”

Charles Maher, CEO/CIO, Tealwood Asset Management, $8.2B AUM

Compliance Resources

Legal/Regulatory Library

The IAA Resource Library houses legal, regulatory, and compliance materials on a range of topics, including SEC Examinations, CFTC and Derivatives Regulation, Reporting, Cybersecurity, and more.

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Marketing Rule Resources

In the final days of 2020, the SEC adopted the first significant changes to its woefully outdated Advertising Rule in nearly 60 years, creating the Investment Adviser Marketing Rule, which takes effect in November 2022. In this section, members will find not just the new rule’s text, but also FAQs, IAA summaries and analysis, analyses from prominent law firms, IAA webinars on the rule’s significant provisions, SEC statements, news reports and compliance-focused columns appearing in our online newsletter IAA Today, and more.

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Contact Legal Team

Business Operations Resources

Business Resources

The IAA Resource Library houses business operations materials on a range of topics, including Human Resources, DEI, Insurance, and Succession Planning.

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Diversity, Equity & Inclusion

The IAA is committed to working collectively with its members, with policymakers, and with business leaders to promote diversity, equity, and inclusion as a value for our industry. We are committed to providing education, information, and resources to help foster significant progress. In this section, we present a wide range of resources for advisers and others in the financial services ecosystem to build a more equitable future for businesses, our employees, and our clients.

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Contact the Business Operations Team

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