Resource Library

Explore the IAA’s Resources

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.

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Form PF Amendments: IAA Form PF Working Group Presentation

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May 17, 2023

Keywords: Form PF, Hedge Funds, Private Equity, Private Funds

Categories & Topics: Compliance, Private Funds

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Private Funds, A legal update from Dechert’s Financial Services Group

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March 21, 2023

Keywords: Bureau of Economic Analysis, CFTC, Compliance, CPO, CTA, ERISA, FINRA, Form ADV, Form CRS, Form PF, Private Funds, Treasury Department

Categories & Topics: 13D/G, 13F, CFTC, Compliance, Compliance Programs, ERISA & Pension Plans, Exchange Act/Treasury, Form ADV & CRS, Private Funds, Reporting

IAA, Joint Trade Association Letter Requesting Extension of Comment Period for Form PF Proposal

The IAA and other trade associations urge the SEC and CFTC to extend the comment period for their joint Form PF proposal for private fund advisers.

September 14, 2022

Keywords: CFTC, Form PF, Private Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Private Funds

Regulatory Game Changers on the Horizon

The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.

June 02, 2022

Keywords: CCO, Compliance, Private Funds, SEC Enforcement, SEC Examinations

Categories & Topics: Business Ops/HR, Compliance, Compliance Programs, Enforcement, Examinations, Private Funds

IAA Letter to SEC on Private Fund Advisers Proposal

The IAA opposes the proposed private fund adviser prohibited activities and the preferential treatment rules. We offer reasonable alternatives to increase transparency and address investor protection concerns that do not depart from the principles-based approach to the Advisers Act. We also oppose retroactive application of the rules

April 25, 2022

Keywords: Fees and Expenses, Hedge Clauses, Private Equity, Private Funds

Categories & Topics: Account Operations, Advisory Contracts, Business Ops/HR, Private Funds

IAA Comment Letter on Proposed Amendments to Form PF

The IAA recommends that the SEC reconsider its proposal to require current reporting of events on Form PF, amend proposed triggering events, and refrain from defining “digital assets.”

March 21, 2022

Keywords: Private Equity, Private Funds

Categories & Topics: Business Ops/HR, Private Funds

IAA, Joint Trades Letter Requesting Extension of Comment Period for Private Fund, Form PF Proposals

The IAA and other trade associations urge the SEC to extend the comment period for the Private Fund Advisers and Form PF proposals.

March 01, 2022

Keywords: Form PF, Hedge Funds, Private Equity, Private Funds

Categories & Topics: Business Ops/HR, Private Funds

March 2022 Sample Examination Letter – Chicago – Adviser, Private Funds

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March 01, 2022

Keywords: SEC Examinations