Associations/Trade Groups

IAA states that the Division of Examinations could simply release a risk alert with guidance to help advisers improve their oversight of vendors without a ...

It’s rare for the Investment Adviser Association to encounter a year when its expenses topped its revenues but 2021 proved to be one, according to ...

The potential cumulative and interactive effects of myriad SEC proposals "not fully understood," says Bentsen

Numbers of SEC-registered IAs, assets under management, individuals employed, and clients served all on the rise

'The rule proposal is not needed.' Principal 'traders are already subject to anti-fraud and anti-manipulation provisions of the Exchange Act'

Association agrees amendments can reduce the credit, market and liquidity risks in securities transactions

Luck graced the IAA to some extent, given it was able to hold its large Washington, D.C. annual conference in early March, just days before ...

Other actions firms plan to take include to develop a detailed guidebook for staff containing compliance do’s and don’ts and to write new P&Ps governing ...

The number of individual investors working with advisers has grown nearly 40% over the past two years

In its first “formal communication” with new SEC Chairman Gary Gensler, the Investment Adviser Association lays out a regulatory agenda that ranges widely from calling ...