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Summary Report: 2024 Investment Management Compliance Testing Survey
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
July 15, 2024
Investment Adviser Industry Snapshot 2024
The 2024 Investment Adviser Industry Snapshot is here! In this edition: a record high number of SEC registered investment advisers; continued growth in the number of asset management clients and total clients; assets under management rebounded to match the record high set in 2021; and much more.
June 19, 2024
SEC Rulemakings Affecting Advisers
The SEC has proposed or adopted more than a dozen consequential regulations recently. This chart shows how the implementation periods overlap to guide investment advisers' work. (Updated June 3, 2024.)
June 03, 2024
IAA Petitions SEC to More Accurately Consider Impact of Regulations on Smaller Advisers
As part of the IAA’s ongoing advocacy on behalf of smaller advisers, we submitted a rulemaking petition to the SEC to require the agency to adhere to its statutory obligations to accurately analyze the impact of its regulations on smaller advisers and consider less onerous alternatives.
September 14, 2023
Summary Report: 2023 Investment Management Compliance Testing Survey
For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.
July 13, 2023
Investment Adviser Industry Snapshot 2023
The Investment Adviser Association (IAA) and National Regulatory Services (NRS), a COMPLY company, today published its annual Investment Adviser Industry Snapshot, which found the sector grew by 2.1% in 2022, with 15,114 fiduciary investment advisers managing $114.1 trillion in assets for 61.9 million clients.
June 22, 2023
2024 Forum Highlights Challenges, Opportunities for Firm Leaders
AI, cybersecurity, leadership, and more were the hot topics discussed by senior executives from a diverse group of advisory firms at IAA’s 2024 Leadership Forum.
October 11, 2024
IAA Joins Request to Extend Comment Deadlines
The IAA joined a letter calling on the SEC to provide reasonable time for input on sweeping and complex rule proposals on outsourcing and liquidity and swing pricing that would affect the entire advice and asset management ecosystem.
November 16, 2022
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