IAA Tracker – 100 Days and Counting; Trump Administration Update
Updated IAA tracker, regulatory developments for Trump Administration – 100 days and counting.
May 12, 2025
IAA Tracker – Trump’s First 80 Days; Atkins Confirmed as SEC Chair
Updated regulatory developments, including Paul Atkins’ confirmation as Chairman of the SEC, SEC actions, and Executive Orders.
April 10, 2025
Firms consider the use of hedge clauses in advisory agreements, which are commonly used contractual provisions limiting an adviser’s liability to its clients.
February 20, 2025
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
SEC Announces National Compliance Outreach Seminar
The SEC is planning a virtual national compliance outreach seminar for investment advisers and investment companies on November 7.
October 03, 2024
Off-Channel Communications: Confronting Compliance Challenges
This article outlines the compliance challenges associated with off-channel communications and discusses key considerations for complying with recordkeeping, supervisory and other compliance obligations.
May 09, 2024
Successful IAA Compliance Conference Sees Spirited Discussions, Record Attendance
More than 600 investment advisory industry professionals convened at the 2024 IAA Investment Adviser Compliance Conference. Across two days, attendees got up to speed on critical industry topics and collaborated with their peers from across the country.
March 14, 2024
CCO Liability: Enforcement Director Speech & Update
This article discusses the issue of CCO liability.
December 08, 2023
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