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Firms consider the use of hedge clauses in advisory agreements, which are commonly used contractual provisions limiting an adviser’s liability to its clients.
February 20, 2025
SEC Committee Discusses Arbitration, Alternative Assets, and Finfluencers
The SEC’s Investor Advisory Committee discussed arbitration clauses, retail investor access to alternative assets, and financial influencers.
December 13, 2024
IAA Letter to SEC on Private Fund Advisers Proposal
The IAA opposes the proposed private fund adviser prohibited activities and the preferential treatment rules. We offer reasonable alternatives to increase transparency and address investor protection concerns that do not depart from the principles-based approach to the Advisers Act. We also oppose retroactive application of the rules
April 25, 2022
Annual Reviews and the Client Servicing Side of Compliance
Outlines Articles and Memoranda
March 02, 2019
Sub-Advised Investment Company Compliance Procedures
Outlines Articles and Memoranda
December 14, 2018
A Bird in the Hand – Navigating the Client Intake Process
Outlines Articles and Memoranda
June 01, 2018
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