Based on member feedback, we are in the process of redesigning our Resource Center, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
Leveraging Generative Artificial Intelligence
K&L Gates presentation for the IAA AI Working Group on use of Generative AI. The presentation includes a high-level overview of use cases for investment advisers and general observations about AI in litigation, prompt training, an explanation of the importance of prompting, and proper usage; as well demonstrations of tips and other use cases.
April 02, 2026
2025 Compliance Workshops Session Outline: Artificial Intelligence
Outline of the 2025 Compliance Workshop session on AI issues for advisers, by Eversheds Sutherland (US) LLP.
November 18, 2025
Sample Policy for AI Notetaking for SEC-Registered Investment Advisers
This sample policy covers the legal and regulatory framework for SEC-Registered Investment Advisers and offers guidelines for their firms’ use of AI.
November 07, 2025
Artificial Intelligence: A Helpful Tool But Buyer Beware
Once the topic of science fiction, AI is now a practical reality being utilized by companies and individuals all over the world. While the advent of new technologies brings with it exciting advancements in productivity, we cannot overlook the potential risks and liabilities associated with its adoption. Three key areas of focus for advisers and boards when thinking about the potential exposures that AI brings are governance, cybersecurity threats and the regulatory environment.
October 24, 2025
Considerations for Use of AI in Asset Management
This presentation by Mark Perlow and Robert Shapiro from IAA Associate Member Dechert discusses regulatory considerations for AI use by asset managers.
October 02, 2025
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