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.
2026 Sample Examination Document Requests (SEC Private Funds Unit) – Private Fund Advisers
This resource includes SEC Division of Examinations, Private Funds Unit initial document request list items for private fund advisers, including some Exhibits (2025-April 2026).
May 12, 2026
IAA Supports Modernizing Recordkeeping Requirements
The IAA and ICI letter supporting modernizing the books and records rule and recommending principles to incorporate into a recordkeeping framework.
May 01, 2026
“Are Your Valuations Board-Ready?” — Private Credit Valuation and Independent Testing Checklist
This checklist by ACA includes core components of valuation framework for private credit for board, investor, auditor, and regulatory expectations.
April 30, 2026
Client Memo from Paul Weiss on SEC/CFTC April 2026 proposed amendments to Form PF.
April 24, 2026
Application of the Federal Securities Laws to Crypto Assets: A Guide for IAA Members
The IAA has developed a guide on crypto assets to help members assess how to engage with them.
April 08, 2026
Leveraging Generative Artificial Intelligence
K&L Gates presentation for the IAA AI Working Group on use of Generative AI. The presentation includes a high-level overview of use cases for investment advisers and general observations about AI in litigation, prompt training, an explanation of the importance of prompting, and proper usage; as well demonstrations of tips and other use cases.
April 02, 2026
Investment Adviser Compliance Topics and Tools at a Glance
This is a guide on investment adviser compliance topics from IAA Associate Member Morrison Foerster.
March 31, 2026
Cooley client alert on CA DFPI pause announced on March 17, 2026, that it is suspending implementation and enforcement of the state’s Fair Investment Practices by Venture Capital Companies Law (FIPVCC), commonly referred to as Senate Bill 54, as amended by SB 164.
March 18, 2026
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