About Us

Investment Adviser Watch is the place for authoritative answers to your toughest compliance questions. Developed by the same powerhouse team that has published IA Week and BD Week for the last decade, IA Watch harnesses the best journalistic and research expertise to create the most comprehensive information tool for compliance professionals working in the securities industry.

"IA Watch looks like a good reference tool. There’s a lot of information in one place. I found some procedural documents and checklists that could be helpful to our business."

— Paul Tolley, CCO
Commonwealth Financial Network

With IA Watch, you can sleep at night knowing you have all the bases covered.

Your on-line compliance service delivers up-to-the-minute news, a vast library of primary source material, proprietary analysis, compliance tools and more.

IA Week Newsletter

A subscription to IA Watch also includes the weekly printed and electronic version of the IA Week newsletter, a favorite of advisory compliance professionals for over 10 years. Think of the newsletter as an indispensable complement to your on-line news and research service, the trusted publication you turn to for breaking news and insightful analysis of regulatory events.

More than $10,000 worth of compliance information – for a fraction of the cost.

That’s right. If you add up what you’re now spending on subscriptions to compliance books, newsletters, magazines and other information services, you’re racking up a big bill. IA Watch provides – in one place, at your fingertips – everything you need without breaking the bank. In fact, because we just upgraded your IA Week subscription, you can start using IA Watch today, without paying a cent. Come away with:

  • Authoritative answers
  • Knowledge
  • Power
  • Confidence

10 reasons why IA Watch is the right choice to help keep you compliant.
10 See what is of greatest interest to your compliance peers, with IA Watch’s "hot topics" list.
9 Quickly pinpoint pertinent articles by topic, with access to a six-year IA Week archive containing thousands of articles.
8 Keep abreast of SEC enforcement trends and priorities with the latest SEC regulatory actions specific to investment advisers posted on a rolling basis.
7 Receive immediate access to the regulations that drive your compliance program like the full text of the Advisers Act, the other securities Acts and proposed and final rules.
6 Review just the SEC no-action letters issued by the Division of Investment Management, dating back to 2001.
5 Stay current on future developments with one touch access to over 250 regulator speeches from January 2006 to present.
4 Quickly hone-in on specific issues of interest by using over 150 pre-selected "topic tags" for easy search results.
3 Have access to hundreds of your compliance peers via IA Watch’s Compliance Forum. Recent discussion topics have included:
  • trading policies and procedures
  • approving advertising/sales literature
  • definitions of "access persons" for code of ethics purposes
  • Form ADV Part 2
  • proxy voting
  • 12b-1 payments
  • the custody rule
2 Save time and become more efficient by utilizing hundreds of compliance tools and templates such as SEC document request letters, sample policies and procedures, checklists and much more!
1 Utilize the enhanced search engine tool for superior free text or topic tags search results that provide a related content view so you can see all articles, laws and regulations and compliance tools on a specified search subject.

Independent and objective. IA Watch is part of a portfolio of specialized information services wholly owned by United Communications Group. Run by its founders, UCG is independent from suppliers, consultancies and other organizations. Our customers benefit from the fact that the information we offer remains free of any vested interest.

No fluff, No gossip. With a subscription to IA Watch, you get only the best laser-sharp analysis, emerging best practices, and up-to-the-minute guidance. Everything you need to get your job done better, without any of the noise and distraction.

For additional information, contact us