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.
IAA Letter to SEC Chairman Atkins
IAA letter to SEC Chairman Atkins outlining the IAA’s regulatory priorities.
May 01, 2025
IAA’s Concerns Regarding New AML and CIP Rules For Investment Advisers
The IAA shares concerns regarding new regulations related to anti-money laundering, counter-terrorism financing, and customer identification programs.
January 31, 2025
The IAA’s Regulatory Priorities for the New Administration
The IAA outlines our top recommendations for regulatory and policy actions that should be prioritized in the first days of the new administration.
January 29, 2025
IAA Comments on Customer Identification Program Proposal for Investment Advisers
The IAA has recommended changes to the Treasury Department’s and SEC’s jointly proposed Customer ID Program rule for investment advisers.
July 22, 2024
IAA Recommends Changes to FinCEN’s AML Rule for Investment Advisers
The IAA has recommended changes to the Treasury Department’s proposed AML rule for investment advisers.
April 15, 2024
IAA Shares Regulatory Priorities with new SEC Chairman Atkins
The IAA has submitted a letter to SEC Chairman Atkins outlining the IAA’s regulatory priorities.
May 02, 2025
AML Compliance Deadline is January 1 | Expert Tips For Getting Ready
Takeaways from the New Anti-Money Laundering Rules for Advisers panel at the 2025 IAA Investment Adviser Compliance Conference.
April 25, 2025
AML Compliance Ahead: Navigating the Upcoming FinCEN Requirements
Advisers should prepare for a new AML rule under FinCEN regulations.
February 06, 2025
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