Based on member feedback, we are in the process of redesigning our Resource Center, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
The IAA and other trade groups requested a 12-month extension of the compliance dates for the amendments to Regulation S-P.
April 25, 2025
2025 Sample Examination Letter – Boston
This is a sample SEC routine examination letter from Boston that also includes questions on cybersecurity, investments not held by a qualified custodian, and an acquisition.
January 01, 2025
April 2024 Sample Examination Letter – Chicago
This is a sample SEC routine examination letter from Chicago that also includes questions on cybersecurity and compensation.
April 29, 2024
IAA Comment Letter to SEC Regarding Adviser Proposals
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
June 17, 2023
February 2023 Sample Examination Letter – DC – Cybersecurity
This is a sample SEC examination letter from February 2023 from the DC Office regarding cybersecurity.
February 15, 2023
IAA Supplemental Letter to SEC on Cybersecurity Survey Results
Results of the IAA’s 10-question member survey on the costs and burdens associated with the SEC’s cybersecurity proposal, which we believe the SEC severely underestimates. These results can help members benchmark their cybersecurity-related costs.
December 19, 2022
2022 Sample Examination Letter – Cybersecurity
This is a sample SEC examination letter from 2022 regarding cybersecurity.
September 16, 2022
Privacy and Cybersecurity: How Advisers Must Protect their Clients’ Most Valuable Asset
This Compliance Corner article discusses advisers’ evolving federal, state, and cross-border regulatory obligations with respect to client data.
July 29, 2022
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