How to Get Cooperation Credit in an SEC Enforcement Case
SEC Division of Enforcement Director discusses five principles of effective cooperation in SEC investigations.
June 05, 2024
Tags: SEC Enforcement
Practical Considerations Under the Names Rule for Registered Funds
This article discusses compliance challenges under the new names rule for registered funds under the Investment Company Act of 1940.
May 23, 2024
Tags: ESG, Registered Funds
IAA Statement on Potential Re-Proposal of Rules
Contact: IAA VP of Communications & Marketing Janay Rickwalder. The IAA is pleased that the SEC may modify and re-propose the safeguarding rule and predictive data analytics rule in light of the...
May 16, 2024
SEC Finalizes its Data Privacy (Reg S-P) Rule – What You Need to Know
The IAA believes that advisers should protect the confidentiality of client PII and inform clients of any breaches. We thus support requirements for advisers to have a principles-based incident response program that addresses unauthorized access to or use of client PII and notification of a breach to affected clients.
May 16, 2024
Tags: Cybersecurity, Data Security
Artificial intelligence is the talk of the investment town, but investment advisers are struggling to understand exactly how AI will impact their businesses and how they can best manage its risks.
May 14, 2024
IAA Statement on FinCEN / SEC Joint Proposed Rulemaking
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Statement from Gail Bernstein, IAA General Counsel The Financial Crimes Enforcement Network (FinCEN) and the SEC jointly released a Notice of Proposed Rulemaking...
May 13, 2024
New IAA Resources – Private Fund Adviser Rules & Form PF
The IAA is excited to announce that we have developed and curated compliance resources for IAA members in a new Private Funds/Form PF Hub webpage devoted to the SEC’s new private fund adviser and Form PF rules.
May 08, 2024
Tags: Form PF
Navigating DEI in an Uncertain Environment
For many investment advisers, diversity, equity, and inclusion has been an important area of focus over the past few years, from both an employment and an investment perspective. But increasingly vocal opposition has generated concerns about DEI programs. Here's what has – and what has not – changed when it comes to DEI and investment advisers.
May 06, 2024
Tags: Diversity and Inclusion
Contact: IAA VP of Communications & Marketing Janay Rickwalder. Washington, D.C./New York – The number of SEC-registered investment advisers reached a record high in 2023, according to preliminary data from the Investment...
May 01, 2024
IAA Statement on the Department of Labor’s Fiduciary Advice Rule
Contact: IAA VP of Communications & Marketing Janay Rickwalder. On Tuesday, the Department released a final amendment to the definition of “fiduciary advice” under ERISA and related exemptions. The Investment Adviser Association...
April 24, 2024