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.
SEC Rulemakings Affecting Advisers
The SEC has proposed or adopted more than a dozen consequential regulations recently. This chart shows how the implementation periods overlap to guide investment advisers' work. (Updated June 3, 2024.)
June 03, 2024
Off-Channel Communications: Confronting Compliance Challenges
This article outlines the compliance challenges associated with off-channel communications and discusses key considerations for complying with recordkeeping, supervisory and other compliance obligations.
May 09, 2024
IAA Submits Second Supplemental Letter on Outsourcing Proposal
The IAA has submitted a second supplemental comment letter calling for changes to the SEC’s service provider oversight, or outsourcing, proposal.
October 13, 2023
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
IAA Submits Supplemental Letter on Outsourcing Proposal
The IAA has submitted a supplemental comment letter calling for substantial changes to the SEC’s service provider oversight, or outsourcing, proposal.
April 20, 2023
This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
IAA Letter to SEC on Service Provider Outsourcing
The IAA submitted a comment letter to the SEC reflecting our general views on the recent adviser outsourcing proposal. Our comments were developed with the input of our dedicated member workstream that is focusing on this proposal. We have significant concerns with the proposal and have urged the Commission not to move forward and instead to consider alternative approaches to achieve its goals.
December 23, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
June 02, 2022
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
