Based on member feedback, we are in the process of redesigning our Resource Library, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
The IAA filed a comment letter with the UK Financial Conduct Authority in response to its Consultation Paper: Enforcement Guide and Publicising Enforcement Investigations. While the IAA recognizes the importance of regulatory transparency and understand the rationale behind potentially publicizing investigations, our arguments focus on the potential irreparable harm done to firms by publicizing investigations, a majority of which do not result in a finding of misconduct.
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