Compliance


The IAA is an unparalleled resource for all investment adviser firms.

The IAA serves as a unique and valuable resource for members on legal, regulatory, and compliance issues. Our legal staff provides information on the rapidly changing regulatory and compliance environment, industry practices, the scope and nature of SEC and DOL inspections, and much more. IAA member firms are able to communicate directly with the IAA legal staff, who serve as an excellent information resource for compliance professionals, in-house legal staff, and business executives. In addition, the IAA provides extensive online compliance and regulatory materials, located in the Members Only section of this web site. 
 
Please visit the Staff section of our Website for a complete listing of our legal team.

Members Only Area of the IAA Website

The Members Only section of the IAA’s Website is the best place to start if you are an investment adviser with compliance issues or questions.

The password-protected Members Only area is a significant resource for IAA member firms, and includes legal, regulatory, and compliance materials.  This section also contains materials pertaining to SEC and DOL exams and the monthly IAA Newsletter, which contains a wide variety of timely information on relevant topics.

The Legal, Regulatory, and Compliance Materials section currently covers twenty-nine topics of critical interest to investment advisers, including advertising, advisory agreements, soft dollars, anti-money laundering, hedge funds, wrap fee arrangements, proxy voting, and much more. For each topic, members can access comprehensive outlines and articles prepared by industry experts, as well as links to relevant rules, IAA guidance, and IAA comment letters and statements.

The Online Compliance Guide provides tips and practices to assist member firms in drafting policies and procedures and covers a wide range of legal, regulatory, and compliance topics.

 

The DOL Rule Delay & Review: What Must IAs Do Now?
Hot Topics in CPO and CTA Regulation and Compliance
Risk, Mitigation and Insurance Issues for IAs
Branding and Marketing Communications for IAs
Lobbying Day

Find out how you can join the more than 600 SEC-registered firms that are members of the IAA and start accessing our full range of advocacy, compliance and educational resources.