Tag: Webinars
IAA Briefs Members on 2023 Policy Landscape
In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.
February 10, 2023
Tags: Advocacy, Cybersecurity, ESG, IAA on Capitol Hill, Marketing Rule, Outsourcing, SEC Investment Management, Webinars
IAA Briefs Members on Policy Landscape
IAA briefing webinar for members highlights policy priorities and regulatory and legislative landscape for advisers.
February 28, 2022
Tags: Advocacy, IAA on Capitol Hill, SEC Division of Investment Management, Webinars
SEC Publishes FAQs on Form CRS
SEC Publishes FAQs on Form CRS November 27, 2019 The SEC staff has published FAQs addressing a number of formatting and delivery requirements for new Form CRS that, beginning in...
November 27, 2019
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules November 25, 2019 In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules...
November 25, 2019
Tags: Form ADV, Advertising Rule, Recordkeeping, Solicitation Rule, Webinars
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
