SEC Warns Investment Managers Against Collaborating on Proxy Matters
SEC warns that coordinated shareholder engagement, including activity conducted through intermediaries, may trigger Section 13(d) filing obligations.
October 08, 2026
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SEC Proposes to Modernize Custody Rule, Responding to Several IAA Calls for Change
The SEC has proposed a framework for the custody of crypto assets and to modernize several outdated aspects of the Custody Rule.
October 05, 2026
IAA Welcomes Publication of SEC Examination Handbook
New SEC Exam Handbook provides greater clarity and transparency regarding the examination process and what registrants can expect before, during, and after an SEC examination.
October 01, 2026
Survey Highlights Growing AI Adoption and Compliance Questions Among Advisers
Investment advisers are increasingly incorporating AI into their legal and compliance functions, but firms remain cautious about expanding AI into regulated workflows, according to the Legal & Compliance AI Survey conducted by the IAA and Norm Ai. A recent joint webinar dove into the results.
September 28, 2026
IAA Files Comment Letter Supporting SEC Regulation E-Delivery Proposal
The IAA filed a comment letter strongly supporting the SEC’s proposed Regulation E-Delivery and recommending refinements to make the framework more evergreen, flexible, and operationally workable.
September 21, 2026
The SEC’s Division of Examinations has issued a risk alert regarding investment adviser annual compliance reviews.
September 15, 2026
SEC Proposes to Rescind Pay to Play Rule
On September 3, 2026, the SEC proposed to rescind Rule 206(4)-5 under the Investment Advisers Act, its pay to play rule governing political contributions by investment advisers and their employees.
September 03, 2026
Valuation of Illiquid Assets in Retail Alts Vehicles
Emerging risks to advisers entering the retail illiquid alts market and approaches to mitigate illiquids valuation risk.
September 03, 2026