Investment Adviser Compliance Index

The Investment Advisers Act of 1940 (the “Advisers Act”) is the shortest of the federal securities laws enacted after the Great Depression, and the SEC has historically adopted relatively few regulations under the Advisers Act. As any compliance officer knows, however, the Advisers Act and its related regulations are not the only basis upon which an investment adviser should be making its compliance decisions. In short, compliance with the Advisers Act is subject to the periodic interpretation of the SEC and its staff and can be complex.

With that in mind, Morrison Foerster has created a handbook designed to provide a simple reference guide that includes the basis for certain key “rules” applicable to an investment adviser’s business – even when they aren’t really rules. In addition, it provides an overview of proposed Advisers Act rules and rule amendments that the SEC is currently considering for adoption. It is not an exhaustive compendium of regulatory guidance, but rather a compliance index of sorts – designed for the compliance practitioner.
Access our 2023 Investment Adviser Compliance Index. 

About MoFo’s Investment Management Practice

At Morrison Foerster, we are deeply familiar with the regulatory concerns of asset managers, and we are uniquely positioned to help them handle those issues. Lawyers in our Investment Management group offer our clients a distinct combination of private firm, government, and in house experience with a wide variety of products. We have excellent relationships with regulators, and we work closely with them, and our colleagues, across a broad spectrum of financial services practices to deliver comprehensive solutions for diversified businesses.