Based on member feedback, we are in the process of redesigning our Resource Library, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
Comments on Wyoming’s Proposed Regulation of ESG Investing
The IAA recommended that Wyoming clarify that its proposed ESG rule would not apply to SEC-registered investment advisers or their representatives, pursuant to the National Securities Markets Improvement Act of 1996 (NSMIA).
September 18, 2023
2023 SEC Division of Examinations Risk Alert on Adviser Examinations
This Risk Alert includes a list of the documents and information that the SEC examinations staff typically requests in an examination.
September 08, 2023
IAA Comments on Australian Consultation on Foreign Financial Services Providers Regulation
The IAA recently filed a comment letter with the Australian Government on its August 7, 2023 Draft Bill on potential options for the regulatory regime that will apply to foreign financial services providers (FFSPs) in Australia. The IAA has asked that the Australian Government follow a streamlined approach for FFSPs to permit them to provide services to clients in Australia without having to obtain a license from the Australian Securities & Investments Commission to do so.
September 08, 2023
The IAA joined other trade groups in requesting that the SEC extend the comment period for its proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
August 15, 2023
The IAA Calls on Treasury for Two-Year Delay of the SECURE 2.0 Roth Catch-up Requirement
The IAA has signed on to a letter requesting that the Treasury Department provide transition relief so that retirement plan participants will not lose the ability to make catch-up contributions.
July 19, 2023
Summary Report: 2023 Investment Management Compliance Testing Survey
For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.
July 13, 2023
SEC Adopts Form PF Amendments to Require New Current and Quarterly Reporting
The summary discusses amendments to Form PF adopted by the in May 2023 for new current reporting (new Sections 5 and 6) and amended large private equity fund reporting (Section 4).
June 28, 2023
June 2023 Sample Enforcement Sweep Letter – Boston – Marketing Rule
This is a sample SEC enforcement sweep letter from June 2023 from the Boston Regional Office regarding the Marketing Rule.
June 23, 2023
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
