IAA Applauds SEC Proposal to Update Small Entity Definitions
SEC proposal to increase the AUM threshold that defines a “small entity” for investment advisers from $25 million to $1 billion.
SEC Holds Final Compliance Outreach Event for Regulation S-P
The SEC hosted an outreach event for small firms on changes to the rule and what to expect in exams.
The SEC announced enforcement actions against two advisers in connection with hedge clauses, assignment, and custody language in advisory agreements.
IAA Regulatory Tracker: One Year In
We’re one year into the Trump administration and we continue to see significant changes in the regulatory landscape. This 7th edition of the IAA Tracker includes the most relevant regulatory...
The SEC Issues New Marketing Rule FAQs
SEC Marketing Rule FAQs addressing use of model fees and testimonials and endorsements disqualification provisions relating to self-regulatory organization final orders.
Top Stories
- Firms cite compliance challenges with SEC marketing rule, InvestmentNews
- Alternative asset rule delayed after DOL misses deadline, 401(k) Specialist
- CFTC chair: US crypto bill would set “gold standard”, Cryptopolitan
- Today’s advisers are becoming de facto CFOs for clients, Financial Advisor
IACCP Certification & Training
The Investment Adviser Certified Compliance Professional (IACCP®) program is designed to advance investment adviser compliance as a profession.
See CalendarFeatured Video
At the 2024 Compliance Conference, a panel of legal experts shared insights they’ve gained from assisting advisers as they navigate the evolving legal landscape surrounding DEI.
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