SEC Issues Guidance on Disclosure and Filing Requirements for Closed-End Funds of Private Funds
SEC Staff issues clarifying guidance for registered closed-end funds that invest in private funds related to registration statement disclosure and amendments under the Investment Company Act.
August 25, 2025
IAA Calls on SEC for More Time on Reg S-P
The IAA has submitted a letter urging the SEC to extend the compliance date for Regulation S-P and to consider refinements to the rule.
July 31, 2025
Webinar Recap: AI Note-Taking Tools
The IAA recently hosted a webinar with K&L Gates addressing the regulatory landscape surrounding generative AI use for investment advisers, common use cases, the risks of its use advisers should be aware of, and best practices for risk management and governance.
July 28, 2025
AI in Wealthtech: Navigating the Next Era of Wealth Management
The investment advisory industry is facing a turning point in the evolution of wealthtech, a segment of the fintech industry leveraging disruptive technologies such as artificial intelligence to provide cutting-edge investment services and novel investment programs.
July 24, 2025
Treasury Announces Postponement, Reopening of AML Rule
The anti-money laundering (AML) rule for investment advisers has been postponed until January 1, 2028. FinCEN and the SEC will also reopen the Customer Identification Program (CIP) rule.
July 21, 2025
IAA Tracker: Trump Administration Update – Five Months In
Updated IAA tracker, regulatory developments for Trump Administration – five months in.
June 27, 2025
Ongoing Phishing Scheme Impersonating the SEC
A phishing operation in which fraudulent emails look like official SEC communications is targeting SEC-registered advisers.
June 27, 2025
SEC Withdraws Outstanding Rule Proposals; Names New IM Director
A big win for advisers and IAA Advocacy: The SEC has named a new IM Director and withdrawn outstanding rule proposals that the IAA has pressed the SEC to confirm that it did not plan to adopt.
June 13, 2025
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