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.
SEC FAQ Affirms that Fiduciaries May Consider DEI Factors
October 13, 2022
IAA, Joint Trade Association Letter Requesting Extension of Comment Period for Form PF Proposal
The IAA and other trade associations urge the SEC and CFTC to extend the comment period for their joint Form PF proposal for private fund advisers.
September 14, 2022
Comments on SEC Request for Comment on Information Providers Acting as Investment Advisers
The IAA submitted a comment letter in response to the SEC’s request for comment on when index providers, model portfolio providers, and pricing services (together, Information Providers) may be acting as investment advisers. We recommend that the SEC ensure that any action it takes does not result in increased costs and burdens that would create barriers to entry for or cause Information Providers to exit the market. The SEC should not impose a fiduciary duty on an Information Provider with respect to an investment adviser’s clients when that Information Provider has no relationship with and typically does not even know the identity of the adviser’s clients.
August 16, 2022
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