Summary results of hundreds of SEC-registered advisers who responded to our 2018 survey provide insights for compliance benchmarking and best practices.
This 19th annual report provides and overview of the investment advisory industry and its emerging trends.
IAA webinars address important legal, regulatory, and compliance topics for investment advisers.
Regulatory, technological and business developments impacting trading, best execution and research.
Briefing webinars inform IAA members about the latest regulatory developments affecting SEC-registered investment advisers.
Our online, members-only newsletter is regulatory updated with content on business, legal, regulatory, compliance and advocacy issues of special interest to investment advisers.
The IAA's directory of service providers, enables IAA members to search for firms in more than 20 categories. This extensive list includes both IAA Associate Members and non-members.
The IAA's more than 600 member firms collectively manage $19 trillion for a variety of individual and institutional clients.
IAA webinars address hot topics for advisory professionals. See the library of recordings that are now available.
Connect with like-minded advisory professionals in the IAA membership to exchange ideas and share experiences.
The IAA exclusively serves SEC-registered investment advisory firms and their employees with a wide range of compliance, education, and advocacy resources.
"The IAA is our CCO's first stop for information on compliance matters through its online material and access to its legal team."
— CEO, $1.2B AUM
The 2018 Year in Review provides an overview of the Association and its accomplishment during the year.
Registered investment advisers abide by principles of fiduciary duty that put the client first. These principles are incorporated in the Standards of Practice endorsed by IAA members.
Washington, DC (August 25, 2015) – Following is the statement of Karen L. Barr, President & CEO of the Investment Adviser Association, on FinCen’s proposal for AML regulations for SEC-registered investment Advisers:
“The IAA recognizes the importance of detecting and preventing money laundering. Many advisers, particularly those affiliated with banks or broker dealers, have voluntarily implemented AML procedures. That said, the advisory business poses little risk in this area. We will be looking at today’s proposed rules with an eye toward whether the expected benefits of the proposed regulation justify its compliance costs, particularly with regard to smaller firms.”
# # #
About Investment Adviser Association
The Investment Adviser Association (IAA) is the leading trade association representing the interests of SEC-registered investment adviser firms. The IAA’s more than 550 member firms collectively manage assets in excess of $16 trillion for a wide variety of institutional and individual investors. In addition to serving as the voice of the advisory profession on Capitol Hill and before the SEC, DOL, CFTC and other U.S. and international regulators, the IAA provides extensive compliance and educational services to its membership. For more information, visit www.investmentadviser.org or follow us on LinkedIn and Twitter.
IAA Today (online newsletter)
Active Managers Council
Coronavirus Response Resources
IAA Comment Letter to CFTC on Form CPO-PQR
IAA Comment Letter to New York State Department of Law on IAR Regulations
Video: Countdown to Form CRS
IAA Comment Letter to SEC on Exempt Offerings
Webinar Recording: You Ask – and We Answer – Your Form CRS Questions
Webinar Recording: A Balanced Narrative on Active Management and How We're Setting the Record Straight
Webinar Recording: Adviser Disclosures and COVID-19
2019 Evolution Revolution Report
Find out how you can join the more than 600 SEC-registered firms that are members of the IAA and start accessing our full range of advocacy, compliance and educational resources.