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 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
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 the European Commission’s Consultation on Duties Regarding Sustainability
The IAA raised concerns that requiring asset managers to consider a particular set of sustainability factors when making investment decisions may dilute fiduciary principles and may run counter to the European Commission’s goals of efficient allocation of capital and sustainable and inclusive growth.
January 22, 2018
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
Comments on SEC Proposal to Enhance and Standardize Climate-Related Disclosures for Investors
We generally support the SEC’s proposal to require disclosure of material information about climate-related financial risks and climate-related financial metrics and provide recommendations that we believe will further the SEC’s objectives. Having consistent, comparable, and reliable disclosures of material information from public issuers, including disclosures related to climate-related matters, would help investment advisers make informed decisions on behalf of their clients.
June 17, 2022
We responded to a Department of Labor request for information on how it can address climate-related financial risks in retirement plans. We urged the DOL that any potential rulemaking should be principles-based and the DOL should not explicitly or implicitly favor one type of investment strategy over another. We also recommended that the DOL should assess its recent ESG Proposal before any further rulemaking and should coordinate with the SEC prior to any potential rulemaking.
May 16, 2022
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