Bank-Affiliated Asset Managers Compliance Forum

The Bank-Affiliated Asset Managers Compliance Forum holds periodic calls to provide a forum for IAA members that are affiliated with a bank to discuss bank stability and related systemic risk issues, the interplay among multiple regulators, affiliate issues, and other legal, regulatory, compliance, and operational issues unique to asset management affiliates of banking organizations. The Forum is designed to benefit legal, compliance, and operational personnel.

Meeting Frequency: Periodic conference calls

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IAA Staff Liaison

Laura Grossman
Associate General Counsel

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To join the Audit Directors Working Group or its online community on the IAA Exchange, please contact iaaservices@investmentadviser.org or call (202) 293-4222.

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