Client Alert

Morrison & Foerster Releases Investment Adviser Compliance Index

13 Jun 2019

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 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 basing 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. It is not an exhaustive compendium of regulatory guidance, but rather a compliance index of sorts for the compliance practitioner and a resource that can be referred to when needed.

Access our 2019 Investment Adviser Compliance Index here.

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.



Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.