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Investment Adviser Association (14)
Your search for Investment Adviser Association returned 14 results.
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8/09/2018 | Content area: Investment Adviser
Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and ...
3/16/2017 | Content area: Investment Adviser
Many investment advisers have a critical need to catch up rather than get ahead when it comes to cybersecurity, a recent industry study reveals. The 2...
9/08/2016 | Content area: Investment Adviser
A number of industry heavy hitters are in lockstep agreement on the SEC’s proposed new rule that would require investment advisers to adopt and implem...
7/07/2016 | Content area: Investment Adviser
For a third consecutive year, cybersecurity remains the hottest compliance topic among investment advisers. Nearly 9 out of 10 IAs regard the safeguar...
2/10/2014 | Content area: Investment Adviser
It won't happen for another year but last week David Tittsworth, the executive director of the Investment Adviser Association, announced he will be vo...
11/11/2013 | Content area: Investment Adviser
As press reports state that the Financial Stability Oversight Council may be thinking of labeling two of the largest RIAs to be systemically important...
9/09/2013 | Content area: Investment Adviser
The trend line keeps heading upward at the Investment Adviser Association. According to its newly filed IRS Form 990, the IAA's revenues grew nearly 6...
12/15/2011 | Content area: Investment Adviser
This report provides an overview of Boston Consulting Group's 2011 study into options for examining more RIAs.
12/15/2011 | Content area: Investment Adviser
This is Boston Consulting Group's report, released in December 2011, examines the major options for conducting more exams of RIAs. This provides cost ...
12/15/2011 | Content area: Investment Adviser
This is a report from the Boston Consulting Group on IA opinions about an SRO. This was released in December 2011.
10/25/2010 | Content area: Investment Adviser
The halls of the SEC are busy with organizations entering to influence how the agency translates congressional intent into regulatory action. Another ...
7/14/2009 | Content area: Investment Adviser
Copy of the letter supporting a fiduciary standard as part of 2009 lobbying effort by the Investment Adviser Association, among other groups.
3/24/2009 | Content area: Investment Adviser
In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing inves...
3/16/2009 | Content area: Investment Adviser
One way to relieve worries about dual registrants that self-custody client assets would be for the SEC to do a combined investment adviser and broker-...

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