Advocacy
We're dedicated to working for our members and to moving forward with our mission of promoting integrity, ethics, and professionalism for the greater good, which includes amplifying your voices for reform and stability in the investment industry.
Environmental, Social, and Governance (ESG) Issues in Investing (PDF)
We believe that every investment analyst should know about the risks and opportunities of environmental, social, and governance (ESG) issues. We help investment professionals better understand ESG issues in investing through our educational programs and learning opportunities.
How Will Brexit Impact Investment Managaement? (PDF)
Brexit—the UK decision to exit the European Union—has important implications for UK and EU investment management firms and their clients. This guide for investment management professionals explores the legal and regulatory considerations and analyzes the possible outcomes.
MiFID II: A New Paradigm for Investment Research (PDF)
The provision of investment research will change dramatically in Europe. Under MiFID II, brokes must establish a price for investment research separately from execution services. This report seeks to understand the expectations of buy-side professionals regarding pricing, the allocation of costs, and related issues.
Our Positions
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Financial Reporting Requirements & Issues
- SEC Funding
- International Financial Reporting Standards (IFRS)
- GAAP (Generally Accepted Accounting Principles)
- Disclosure Effectiveness Principles
- Reporting Supervision and Enforcement
- The European Securities and Markets Authority (ESMA)
- IOSCO
- Non-Gaap Reporting (incl. 4.4 Non-GAAP Reporting Metrics)
- Accounting Quality
- ESG / Sustainable Investing
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Auditing Requirements & Practices
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Corporate Reporting (Publicly Traded) Regulated Corporate Disclosures
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Corporate Governance
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Asset Management Firm Issues
- Fiduciary Duty (Proposed Fiduciary Rule)
- Regulation of the Asset Management/Advisory Industry
- Regulated Investment Firm Disclosures
- Investment Management Governance
- Pension Funds
- Hedge Funds
- Short-Termism
- Investment Performance Reporting
- ESG / Sustainable Investing
- Asset Management Standards
- Shadow Banking
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Market Structure
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Investment Products and Services
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Financial Market Regulation
- Fiduciary Duty (Proposed Fiduciary Rule)
- Systemic Risk
- Market Rules Covering Individuals, Firms, & Trading Markets
- Elements of Effective Regulation
- Analyst Ethics
- Analyst Research Process
- Automated Advisors
- MiFID
- Inducements
- Commission-based Advice
- Conflicts of interest
- Payment for Investment Research
- Expanded SEC Examination Program for Advisers
- Business Continuity Plans for Advisers
- Credit Rating Agencies (CRAs)
- Regulatory Capture
- Shadow Banking
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Capital Formation