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.
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.
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.
This article discusses challenges global advisers face in keeping up to date with to ESG-related regulations in the U.S. and EU and in modifying their ESG-related policies and procedures in response.
In a panel at the 2024 IAA Investment Adviser Compliance Conference, industry experts provided insights on how trends in Washington will affect investment advisers.
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