SEC Adopts Amendments to the Investment Company Act Names Rule
The SEC has adopted amendments to the Investment Company Act Names Rule to address its concerns about fund names that are likely to mislead investors about a fund’s investments and risks.
September 21, 2023
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
This article highlights the challenges advisers face around the current state of ESG investing and regulation and the considerations of disclosure, data, and portfolio management issues.
August 30, 2023
Office of Investor Advocate Presents Policy Objectives
The SEC’s Office of the Investor Advocate has published its policy objectives for the 2024 fiscal year.
August 03, 2023
Taking a Look at AI: Opportunities & Risks for Advisers
Few topics have caused as much buzz in recent months as AI. To help members evaluate this new technology, its potential use cases, and the associated risks, the IAA brought together experts for a candid and enlightening discussion.
July 20, 2023
House Financial Services Committee Kicks Off “ESG Month”
House Financial Services Committee Republicans have dubbed July “ESG Month,” and have scheduled multiple ESG-focused hearings that are expected to culminate in a markup of ESG legislation addressing proxy advisors, asset managers, disclosure requirements, and other issues.
July 14, 2023
SEC Marketing Rule Continues to be Top Compliance Concern, Survey Shows
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 14, 2023
The IAA and NRS, a COMPLY company, today published its annual Investment Adviser Industry Snapshot, which found that 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
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