IAA Today

Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals

Washington, DC (July 16, 2024) – 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...

July 16, 2024

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IAA Submits Amicus Brief Opposing Improper State Regulation of SEC-Registered Investment Advisers

Contact: IAA VP of Communications & Marketing Janay Rickwalder. The Investment Adviser Association has submitted a “friend of the court” (or amicus) brief in a lawsuit filed in federal court in Missouri....

June 26, 2024

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2024 Investment Adviser Industry Snapshot Shows Increase in Demand for Adviser Services

Contacts:  Janay Rickwalder, CAE Investment Adviser Association 703-357-3918 janay.rickwalder@investmentadviser.org Brianna Fredriksen COMPLY 302-593-5404 bfredriksen@comply.com   Washington, D.C./New York – June 20, 2024 – The number of SEC-registered investment advisers reached...

June 20, 2024

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IAA Statement on Potential Re-Proposal of Rules

Contact: IAA VP of Communications & Marketing Janay Rickwalder. The IAA is pleased that the SEC may modify and re-propose the safeguarding rule and predictive data analytics rule in light of the...

May 16, 2024

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IAA Statement on FinCEN / SEC Joint Proposed Rulemaking

Contact: IAA VP of Communications & Marketing Janay Rickwalder. Statement from Gail Bernstein, IAA General Counsel    The Financial Crimes Enforcement Network (FinCEN) and the SEC jointly released a Notice of Proposed Rulemaking...

May 13, 2024

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IAA Statement on the Department of Labor’s Fiduciary Advice Rule

Contact: IAA VP of Communications & Marketing Janay Rickwalder. On Tuesday, the Department released a final amendment to the definition of “fiduciary advice” under ERISA and related exemptions. The Investment Adviser Association...

April 24, 2024

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IAA Statement on FTC Rulemaking

Contact: IAA VP of Communications & Marketing Janay Rickwalder. Statement from Gail Bernstein, IAA General Counsel  The FTC voted on Tuesday to finalize its rulemaking that would generally prohibit employers from using...

April 24, 2024

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IAA Statement on AML Proposal for Investment Advisers

Contact: IAA VP of Communications & Marketing Janay Rickwalder. Statement from Gail Bernstein, IAA General Counsel  The Investment Adviser Association fully supports efforts to combat money laundering and terrorist financing, but additions...

April 15, 2024

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IAA Statement on Amendments to the SEC’s Internet Adviser Rule

Contact: IAA VP of Communications & Marketing Janay Rickwalder. Registration and regulation of investment advisers is generally divided between the SEC and the States. Advisers with under a certain threshold in assets...

March 27, 2024

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