Tag: Research
Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern
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 17, 2024
Tags: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research
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
IAA DEI Member Survey: A Preview of Results
The IAA is committed to working to support DEI as a priority for our industry. Our recent survey allowed members to provide firm-level information about this critical topic.
March 02, 2023
No Tradeoff Between Diversity and Performance
There’s strong evidence that women investors and firms owned by women perform at least as well as men. The growing body of evidence on investments managed by minorities and minority-owned firms supports a similar conclusion. We summarize the findings of 56 studies in this research review.
November 28, 2022
SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
June 30, 2022
Tags: Climate, Compliance Testing, Conflicts of Interest, Cybersecurity, Digital Assets, ESG, Fees and Expenses, Marketing Rule, Private Funds, Research, Survey, Valuation
No Trade-Off Between Diversity and Investment Performance, Study Concludes
46 studies and 50 years of data: Our research summary reviews the evidence on diversity and investment approach results and finds that diversity doesn't mean sacrificing performance.
January 27, 2022
UK FCA Proposes to Permit Re-Bundling for Research Under MiFID II Following Similar EU Changes
UK FCA Proposes to Permit Re-Bundling for Research Under MiFID II Following Similar EU Changes May 18, 2021 The UK FCA issued a consultation recently to scale back limits...
May 18, 2021
Tags: Commissions, European Commission, International, MiFID II, Research
European Commission Seeks Feedback on Changes to Research Unbundling Rules for Small Companies
European Commission Seeks Feedback on Changes to Research Unbundling Rules for Small Companies March 16, 2020 The European Commission recently published a consultation on MiFID II seeking feedback on...
March 16, 2020
Tags: European Commission, MiFID II, Research
European Commission Publishes Proposed Reversal of Unbundling Requirements for Small and Mid-Sized Companies and Fixed Income Instruments August 11, 2020 In a welcome move, the European Commission published draft...
August 11, 2020
Tags: MiFID II, Research, Soft Dollars
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