Based on member feedback, we are in the process of redesigning our Resource Library, 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.
Your Search Results
October 2023 Sample Examination Letter – Boston – Marketing Rule and ESG
This is a sample SEC examination letter from October 2023 from the Boston office that includes questions on the Marketing Rule and ESG investing.
October 31, 2023
Client alert on private fund adviser performance under the marketing rule. By Stephanie Thomas, Aaron Russ, and Jeffrey Lau of Morrison Foerster.
October 31, 2023
Summary Report: 2023 Investment Management Compliance Testing Survey
For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.
July 13, 2023
June 2023 Sample Enforcement Sweep Letter – Boston – Marketing Rule
This is a sample SEC enforcement sweep letter from June 2023 from the Boston Regional Office regarding the Marketing Rule.
June 23, 2023
June 2023 Sample Examination Letter – New York – Marketing
This is a sample SEC examination letter from June 2023 from the New York office regarding the Marketing Rule.
June 22, 2023
Marketing Rule Compliance Checklist
To help members stay compliant with the Marketing Rule, the IAA has created a Marketing Rule Checklist – an interactive guide to help advisers implement marketing efforts at their firm. Among other important information, this checklist identifies key areas to consider and provides suggestions for complying with the rule.
January 09, 2023