IAA Today Archive

Private Fund Advisers: Emerging Insider Trading Issues and Opportunities to Implement Enhanced Controls

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September 22, 2022

Keywords: Code of Ethics, Insider Trading, Private Funds

Categories & Topics: Codes of Ethics, Compliance, Insider Trading, Private Funds

How Can Advisers With Multiple Branch Offices or Remote Work Arrangements Effectively Supervise Risk?

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August 25, 2022

Keywords: Compliance Policies, IAR, Trading

Categories & Topics: Compliance, Compliance Programs

Advocacy, Connection, and Expertise at the Policy & Leadership Forum

Join us for IAA’s new Policy & Leadership Forum, which will take place in Washington, DC, on September 28­–30.

July 29, 2022

Keywords: From the President & CEO

Q&A: New NASAA Model Rule for Investment Adviser Representative Continuing Education Requirements

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July 25, 2022

The IAA’s New Advocacy Council – Strengthening Our Voice

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July 01, 2022

Keywords: Advocacy, Inside the Beltway

Categories & Topics: Congress, Industry Trends, Industry-Level

Securing Proper Investment Management Liability Insurance: The Who & The What

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June 21, 2022

Keywords: Insurance

Categories & Topics: Business Ops/HR, Insurance

Regulatory Game Changers on the Horizon

The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.

May 31, 2022

Keywords: CCO, Compliance, Private Funds, SEC Enforcement, SEC Examinations

Categories & Topics: Business Ops/HR, Compliance, Compliance Programs, Enforcement, Examinations, Private Funds

Milestone Anniversaries and New Faces at the IAA

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April 28, 2022

Keywords: Karen Barr, Neil Simon