IAA Expresses Concerns Over FCA’s Name and Shame Plan
The IAA urges the UK FCA to maintain the confidentiality of investigations until formal administrative or legal action is taken.
February 17, 2025
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IAA Expresses Concerns Over FCA’s Name and Shame Plan
The IAA urges the UK FCA to maintain the confidentiality of investigations until formal administrative or legal action is taken.
February 17, 2025
October 2023 Enforcement Letter – Los Angeles – Artificial Intelligence (AI)
This is an SEC enforcement letter from October 2023 from the Los Angeles office regarding the use of artificial intelligence (AI).
October 20, 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
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
October 2022 Sample Examination Letter – Recordkeeping and Personal Devices
This is a sample SEC examination letter from October 2022 regarding recordkeeping and the use of personal devices.
October 19, 2022
Reversing Chevron Deference: An IAA Webinar Recap
An IAA webinar discussed the implications of overturning Chevron and other recent Supreme Court rulings for the investment adviser industry.
July 26, 2024
Bad Facts Create Good Law on Negligence Standard for Investment Advisers
Recent court decision SEC v. Rashid clarifies the negligence standard applicable to the anti-fraud provisions of the Advisers Act.
July 18, 2024
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
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