SEC Holds First Compliance Outreach Event for Regulation S-P
The SEC held a webinar on recent amendments to Regulation S-P that addressed the new requirements and potential areas of focus for examinations.
September 29, 2025
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SEC Announces Compliance Outreach Events for Regulation S-P
The SEC has announced Compliance Outreach events on Regulation S-P, with the first scheduled for September 25 for large firms. The compliance date for large firms in December 3.
September 18, 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
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A big win for advisers and IAA Advocacy: The SEC has named a new IM Director and withdrawn outstanding rule proposals that the IAA has pressed the SEC to confirm that it did not plan to adopt.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
IAA Members and Aon Discuss Cyber Insurance and Risk
Learn about cyber protection and insurance policies from Aon in this member call.
June 13, 2025
Webinar Recap: Regulation S-P, Cybersecurity, and AI
Upcoming compliance dates for the SEC’s adopted amendments to Regulation S-P pose changing requirements for investment advisers.
May 27, 2025
Privacy and Cybersecurity: How Advisers Must Protect Their Clients’ Most Valuable Asset
Investment advisers must keep up with evolving federal, state, and cross-border regulatory obligations with respect to client data, privacy, and cybersecurity.
October 18, 2024