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.
IAA Comment Letter to SEC Regarding Adviser Proposals
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
June 17, 2023
February 2023 Sample Examination Letter – DC – Cybersecurity
This is a sample SEC examination letter from February 2023 from the DC Office regarding cybersecurity.
February 15, 2023
IAA Supplemental Letter to SEC on Cybersecurity Survey Results
Results of the IAA’s 10-question member survey on the costs and burdens associated with the SEC’s cybersecurity proposal, which we believe the SEC severely underestimates. These results can help members benchmark their cybersecurity-related costs.
December 19, 2022
2022 Sample Examination Letter – Cybersecurity
This is a sample SEC examination letter from 2022 regarding cybersecurity.
September 16, 2022
Privacy and Cybersecurity: How Advisers Must Protect their Clients’ Most Valuable Asset
This Compliance Corner article discusses advisers’ evolving federal, state, and cross-border regulatory obligations with respect to client data.
July 29, 2022
Comments on Proposed Cybersecurity Rules for Advisers
We recommend changes to proposed cybersecurity rules that would require investment advisers to adopt and implement written cybersecurity policies and procedures with specified elements, report significant adviser cybersecurity incidents to the Commission, disclose significant adviser cybersecurity risks and incidents to clients, and maintain related books and records.
April 11, 2022
August 2021 Sample Examination Letter – Philadelphia – Cybersecurity
This is a sample SEC examination letter from August 2021 from the Philadelphia Regional Office regarding cybersecurity.
August 01, 2021
2021 Sample Examination Letter – Cybersecurity (2)
This is a sample SEC examination letter from 2021 regarding cybersecurity.
January 20, 2021
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