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.
The IAA and other trade associations file letter urging the SEC and CTFC to provide an extension of the March 12, 2025 compliance date for the amendments to Form PF.
PowerPoint presentation of SEC’s February 2024 amendments to Form PF (Joint with CFTC), by Alyssa Clough Horton, Counsel & Colleen B. Meyer, Counsel, Ropes & Gray LLP.
PowerPoint presentation of background and legal and regulatory considerations on BDCs and Closed-End Funds, by Bill Bielefeld, Jon Gaines, and Nadeea Zakaria of Dechert LLP.
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
PowerPoint presentation of SEC’s February 2024 amendments to Form PF (Joint with CFTC), by Michael Didiuk, partner, and Malik Rollins, special counsel, at Schulte Roth & Zabel LLP.
The IAA urges the NFA to reconsider its proposal to amend the NFA member questionnaire for commodity trading advisors and commodity pool operators to allow for more flexibility in filing requirements.
You are now leaving Investment Adviser Association
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.
This website uses cookies so that we can provide you with the best user experience possible. Cookie information is stored in your browser and performs functions such as recognising you when you return to our website and helping our team to understand which sections of the website you find most interesting and useful.
Strictly Necessary Cookies
Strictly Necessary Cookie should be enabled at all times so that we can save your preferences for cookie settings.
If you disable this cookie, we will not be able to save your preferences. This means that every time you visit this website you will need to enable or disable cookies again.
