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 and Trades Request Extension of Compliance Date for Amendments to Regulation S-P
The IAA joined other trade associations requesting a 6-month extension of the compliance date for Reg S-P while the SEC considers much needed interpretive guidance.
November 19, 2025
U.S. SEC Regulation S-P and Checklist
This article from IAA Associate Member Sidley outlines the requirements of Regulation S-P and includes a Regulation S-P Checklist. The Compliance Deadline, December 3, 2025, is approaching for large entities
October 29, 2025
IAA/K&L Gates Sample Regulation S-P Compliance Policy
This is a sample compliance policy for Regulation S-P.
October 13, 2025
This Compliance Guide discusses Regulation S-P, procedures and controls to consider, and other privacy-related laws.
October 13, 2025
FAQs for SEC’s Data Privacy (Reg S-P) Rule Requirement
These FAQs discuss the 2024 amendments to Regulation S-P and how they affect investment advisers.
September 12, 2025
IAA Calls on SEC for More Time on Reg S-P
The IAA has submitted a letter urging the SEC to extend the compliance date for Regulation S-P and to consider refinements to the rule.
July 30, 2025
U.S. State Comprehensive Consumer Data Privacy Law Comparison
This article from Foley & Lardner includes a link to information about state consumer data privacy laws.
July 01, 2025
State Data Breach Notification Laws
This article from Foley & Lardner includes a link to information about state data breach notification laws.
June 02, 2025
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