IAA filed a comment letter strongly supporting the SEC’s proposal to modernize the definition of “small entity” for investment advisers under the Regulatory Flexibility Act. This proposal represents a significant win for the IAA’s long-standing advocacy on behalf of smaller investment advisers.
Names Rule and Form N-PORT: SEC Issues FAQs, Proposes Changes
The SEC has proposed amendments to the Form N-Port reporting requirements, extended the compliance deadline for the mutual fund Names Rule related reporting, and issued four long awaited FAQs regarding the Names Rule.
SEC Holds Final Compliance Outreach Event for Regulation S-P
The SEC hosted an outreach event for small firms on changes to the rule and what to expect in exams.
The SEC announced enforcement actions against two advisers in connection with hedge clauses, assignment, and custody language in advisory agreements.
IAA Regulatory Tracker: One Year In
We’re one year into the Trump administration and we continue to see significant changes in the regulatory landscape. This 7th edition of the IAA Tracker includes the most relevant regulatory...
The Investment Adviser Certified Compliance Professional (IACCP®) program is designed to advance investment adviser compliance as a profession.
See CalendarAt the 2024 Compliance Conference, a panel of legal experts shared insights they’ve gained from assisting advisers as they navigate the evolving legal landscape surrounding DEI.
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