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Legal/Compliance

To remain competitive while staying on the right side of regulators, investment advisers must successfully navigate a sometimes perplexing and often rapidly changing regulatory environment. The IAA provides members with a wide range of legal and compliance resources to help them do just that.

Compliance

Access to the IAA Legal Team

Our staff attorneys respond personally to hundreds of inquiries from members each year, discussing specific issues and giving members practical information on a variety of regulatory and compliance matters – such as Form ADV reporting requirements, cybersecurity, custody, pay-to-play, AML, state filing issues and more. The IAA’s Legal Team can serve as a sounding board for unraveling complex issues, connect firms with similar challenges and point a firm’s compliance officers, counsel and other executives in the right direction for further information.

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Members-Only Online Resource Library

The IAA’s online resource library receives thousands of visits from members seeking information on dozens of issues critical to maintaining a strong compliance program. Each topic area includes guidance documents from the IAA and from appropriate regulators, IAA comment letters, articles and memoranda from leading law firms and consultants, and citations of relevant regulations.

Online resources include full libraries devoted to issue-specific Compliance Guides, materials for preparing for SEC Examinations, CFTC & Derivatives Regulation and International Issues.

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Conferences, Workshops, Webinars and More

Each spring, the IAA presents the widely respected Investment Adviser Compliance Conference in Washington, D.C. and each fall stages a series of smaller Compliance Workshops in cities throughout the nation. The IAA’s Webinar Series regularly offers members complimentary webinars on timely compliance topics. And each month, the IAA Newsletter focuses in depth on a critical compliance issue in its Compliance Corner column – and provides news and updates about the latest regulatory actions and proposals.

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