All Investment Adviser Association articles
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Premium‘You have to sell compliance’: Tips for building compliance programs from scratch
A panel of experienced compliance professionals shared the various approaches they took to build compliance programs from the ground up at Compliance Week’s 2024 National Conference.
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PremiumSurvey: Investment adviser compliance ramps up testing on advertising, marketing
The most popular mock exams conducted by compliance professionals at investment adviser firms this year have been on the Securities and Exchange Commission’s advertising/marketing rule, according to a new poll.
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PremiumSEC passes new disclosure rules for hedge, private fund advisers
The Securities and Exchange Commission passed new amendments requiring advisers to hedge and private funds to disclose events that could indicate systemic risk or investor harm, a move the regulator said will improve transparency within $20 trillion of market activity.
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ArticleInvestment advisers fret over SEC’s proposed ESG disclosure rule
Investment advisers and companies worry a recently proposed rule by the SEC that would require enhanced disclosures about funds that claim ESG strategies drive investment choices would have “substantial impact” without providing useful information to investors.