Click here (http://www.ipa.com/policy-issues/guidelines/bdc/) to login and view the practice guideline. The Guideline was developed by the BDC Committee and represents a collaborative effort involving the Legal & Regulatory, Compliance and the Due Diligence Committees of the IPA. The Guideline has been reviewed by FINRA and includes FINRA's comments and suggestions. The IPA Board of Directors has approved […]
IPA CONNECTION: A MONTHLY UPDATE ON THE IPA'S CORE INITIATIVES February 2015 Expanded Advisor Education Platform and CE Credits The IPA's partnership with two of the industry's leading providers of alternative investment education provides Broker Dealers with a valuable compliance option, while offering Sponsors another outlet for delivering top flight advisor education. These valuable resources […]
Member Alert 2015-3 Dear IPA Members, The Department of Labor today indicated that it would submit to the Office Of Management and Budget (OMB) proposed changes in the definition of the"fiduciary" for purposes of the Employee Retirement Income Security Act (ERISA).
Delivering Advocacy results for the Direct Investments industry The IPA Political Advocacy Committee fought hard on critical legislation and regulatory issues in 2014, and is already focused on an active and productive 2015. We appreciate your support and will continue to keep you informed and updated on new developments as they occur. Read more