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Final IAA-2 comments responses - Financial Management Service

Final IAA-2 comments responses - Financial Management Service 2025

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The document contains a compilation of comments and responses regarding changes to the Interagency Agreement (IAA) forms, focusing on clarifications, updates, and recommendations from various agencies. Key themes include the need for clearer definitions of terms, consistent use of terminology (such as 'Requesting Agency' and 'Servicing Agency'), updates to outdated links, and the importance of specifying roles and responsibilities in interagency transactions. Agencies suggest improvements to ensure compliance with accounting standards and legal requirements while streamlining the form for better usability.

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The alert from the SECs Office of Compliance Inspections and Examinations outlines the list of the five compliance topics most frequently identified in deficiency letters. Compliance Rule. Regulatory Filings. Custody Rule. Code of Ethics Rule. Books and Records Rule.

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The Investment Adviser Association (IAA) is a financial industry association tasked with serving the interests of the SEC-registered investment advisory profession.

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