2023 Sample Examination Letter – Electronic Communications and Personal Devices
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January 20, 2023
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Marketing Rule Compliance Checklist
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January 09, 2023
IAA Letter to SEC on Service Provider Outsourcing
The IAA submitted a comment letter to the SEC reflecting our general views on the recent adviser outsourcing proposal. Our comments were developed with the input of our dedicated member workstream that is focusing on this proposal. We have significant concerns with the proposal and have urged the Commission not to move forward and instead to consider alternative approaches to achieve its goals.
December 23, 2022
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 – Fort Worth – Adviser, Private Fund, Sub-Adviser
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December 15, 2022
Legal Context of Defined Contribution Plan for Fiduciaries
One of the core responsibilities of defined contribution plan fiduciaries is selecting the investment options that will be available to participants in the plan. This paper summarizes the principles governing the exercise of that responsibility in 50 years of law, regulation, regulatory guidance, and court decisions.
December 13, 2022
2022 Sample Examination Letter – Private Funds, Private Investments, MNPI Monitoring
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November 23, 2022