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Associations/Trade Groups (65)
Your search for Associations/Trade Groups returned 65 results.
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12/20/2018 | Content area: Investment Adviser
With the SEC mired in figuring out whether to clarify fiduciary duty standards, the agency may wish to consider one hiding in plain sight. The CFP Boa...
10/18/2018 | Content area: Investment Adviser
A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new hei...
9/25/2018 | Content area: Investment Adviser
According to its newly-published IRS-990 form, the Investment Adviser Association’s revenues in 2017 grew 6.4% over the previous year. At the same tim...
9/06/2018 | Content area: Investment Adviser
Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previo...
10/12/2017 | Content area: Investment Adviser
Only part of the Labor Department’s controversial fiduciary duty rule took effect in June and the Consumer Federation of America says brokers are eith...
6/22/2017 | Content area: Investment Adviser
Once again you’re being asked to share your comments about standards for financial professionals, but it’s not by the SEC this time (IA Watch, June 15...
6/15/2017 | Content area: Investment Adviser
As public comments slowed in response to SEC Chairman Jay Clayton’s recent invitation concerning “standards of conduct” for advisers and B-Ds, the Inv...
5/25/2017 | Content area: Investment Adviser
At a time when Republicans hold the trump card in Washington, regulators are on the defensive. But they are not giving up, either. Witness the scores...
5/09/2017 | Content area: Investment Adviser
We often witness the devastation suffered by victims of securities fraud. Whether fraudsters cold-called their victims to peddle their fraudulent “in...
4/13/2017 | Content area: Investment Adviser
It may have taken three years of lobbying for the industry to wrest out of the SEC new guidance around custody (IA Watch, Feb. 23, 2017), but the effo...
3/09/2017 | Content area: Investment Adviser
This week, the CFA Institute’s executive body will weigh a proposal to change the GIPS’ rules to accept a mutual fund’s existing regulatory disclosure...
9/07/2016 | Content area: Investment Adviser
The percentage of salary growth may have topped revenues’, but the latest Form 990 report from the Investment Adviser Association attests to vigorous ...
8/30/2016 | Content area: Investment Adviser
Investment advisers have never served more clients (36 million) nor managed more assets ($66.8 trillion), and the industry displays strong jobs growth...
6/02/2016 | Content area: Investment Adviser
It had long been expected, and on June 1 a group of industry and business groups fulfilled the prophecy by filing a lawsuit in federal court in Dallas...
4/28/2016 | Content area: Investment Adviser
It’s amazing that all these years after the custody rule was toughened by the SEC that no one had raised this issue until now. The Investment Adviser ...
2/18/2016 | Content area: Investment Adviser
When it’s all added up, the Financial Planning Association suffered a $40,000 loss in 2014, according to its most recent IRS-990 filing. However, when...
1/28/2016 | Content area: Investment Adviser
It took only six months for former U.S. Senator Judd Gregg to determine that the CEO job at SIFMA was not for him but the length of service didn’t pre...
1/14/2016 | Content area: Investment Adviser
Karen Barr took over the Investment Adviser Association as president/CEO in November 2014 (IA Watch, Sept. 25, 2014). According to the association’s l...
9/03/2015 | Content area: Investment Adviser
That letter to SEC Enforcement chief Andrew Ceresney from the NSCP last month raising questions about cases targeting compliance officers will result ...
8/27/2015 | Content area: Investment Adviser
Add another voice to those clamoring for the SEC to dampen fears among compliance officers that they will be charged for missing the violations of oth...


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