June 2025 Sample Examination Letter – ESG
This is a sample SEC examination letter that includes several questions on ESG investing. It also includes a template to respond to data requests.
June 18, 2025
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IAA Amicus Brief Opposing Improper State Regulation of SEC Advisers
The Investment Adviser Association has submitted a “friend of the court” (or amicus) brief in a lawsuit filed in federal court in Missouri. The IAA’s brief focuses on the critically important issue of whether Missouri or other states have the legal authority to impose substantive regulation on SEC-registered investment advisers and their adviser personnel. The IAA’s answer is a resounding “no.”
June 26, 2024
Practical Considerations Under the Names Rule for Registered Funds
This article discusses compliance challenges under the new names rule for registered funds under the Investment Company Act of 1940.
May 23, 2024
Compliance Considerations for Investment Advisers Using ESG Strategies in the US and EU
This article discusses challenges global advisers face in keeping up to date with to ESG-related regulations in the U.S. and EU and in modifying their ESG-related policies and procedures in response.
April 15, 2024
October 2023 Sample Examination Letter – Boston – Marketing Rule and ESG
This is a sample SEC examination letter from October 2023 from the Boston office that includes questions on the Marketing Rule and ESG investing.
October 31, 2023
Comments on Wyoming’s Proposed Regulation of ESG Investing
The IAA recommended that Wyoming clarify that its proposed ESG rule would not apply to SEC-registered investment advisers or their representatives, pursuant to the National Securities Markets Improvement Act of 1996 (NSMIA).
September 18, 2023
Comments on SEC Proposal to Enhance ESG Disclosures for Investment Advisers and Funds
The IAA strongly supports the view that investment advisers and funds should clearly articulate their investment strategies, including ESG strategies, so that investors understand the investment adviser’s philosophy and can make informed investment decisions. While we are generally supportive of the SEC’s proposal to move forward with specific ESG disclosure requirements, we have concerns about its broad scope, which we believe could obscure rather than clarify salient information for investors.
August 16, 2022
ESG Regulatory Frameworks for Pension Systems: Developments and Risks Relating to ESG
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July 19, 2022