2025 Sample Examination Letter – Private Investments, Wrap Fee, Marketing
This is a sample SEC examination letter that includes standard topics and private investments, wrap fee programs, and marketing.
December 13, 2025
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IAA and Trades Request Extension of Compliance Date for Amendments to Regulation S-P
The IAA joined other trade associations requesting a 6-month extension of the compliance date for Reg S-P while the SEC considers much needed interpretive guidance.
November 19, 2025
Sample Policy for AI Notetaking for SEC-Registered Investment Advisers
This sample policy covers the legal and regulatory framework for SEC-Registered Investment Advisers and offers guidelines for their firms’ use of AI.
November 07, 2025
U.S. SEC Regulation S-P and Checklist
This article from IAA Associate Member Sidley outlines the requirements of Regulation S-P and includes a Regulation S-P Checklist. The Compliance Deadline, December 3, 2025, is approaching for large entities
October 29, 2025
Revolutionizing Alternatives: Navigating Fund Structures for Retail Investors
This article explores key Investment Company Act fund structures that enable retail access to alternative investments, highlighting their features, compliance obligations, and strategic alignment for fund managers navigating this evolving landscape.
October 22, 2025
IAA Response to FinCEN NPRM: Delaying the Effective Date of the IA AML Rule
In September, FinCEN issued an NPRM seeking to codify the 2-year delay in the IA AML Rule. The Investment Adviser Association was pleased to provide comments in support of FinCEN’s Proposal.
October 21, 2025
IAA/K&L Gates Sample Regulation S-P Compliance Policy
This is a sample compliance policy for Regulation S-P.
October 13, 2025
This Compliance Guide discusses Regulation S-P, procedures and controls to consider, and other privacy-related laws.
October 13, 2025