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.
Asset Management Enforcement: Latest Trends and a Look Ahead at the New Commission
Stradley’s client memo discusses key SEC enforcement statistics and themes related to investment advisers, funds and fund boards in both Fiscal Year (FY) 2024 and part of FY2025 and what to expect going forward with incoming SEC Chair Paul Atkins.
March 11, 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
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
Electronic Communications Conundrum: Risks vs. Regulatory Obligations
16 steps to take in light of the SEC's enforcement case for supervisory and recordkeeping failures stemming from the use of personal devices for business communications.
February 18, 2022
2022 Sample Enforcement Letter – New York – Off-Channel Text Messages
This is a sample SEC enforcement letter from 2022 from the New York Regional Office regarding a dual-registrant’s off-channel text messages.
January 26, 2022
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