Skip to main content

Resource Library

Explore the IAA’s Resources

Based on member feedback, we are in the process of redesigning our Resource Library, 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

Your Search Results

IAA Calls on SEC to Withdraw Rule Proposal on Conflicts of Interest Associated with use of Predictive Data Analytics

The IAA submitted a comment letter to the SEC requesting that the agency withdraw its proposed rules regarding potential conflicts of interest associated with the use of predictive data analytics and other technologies by advisers in investor interactions.

October 10, 2023

Keywords: Artificial Intelligence, Conflicts of Interest, Predictive Data Analytics

Categories & Topics: Compliance, Conflicts, Fiduciary

SEC Request for Comment on Digital Engagement Practices

With the help of our Digital Adviser Committee, we submitted a letter in response to the SEC’s request for input on the use by advisers of digital engagement practices and technology to provide advice. Our letter urges the SEC to remain technology neutral and to ensure that advisers’ use of DEPs and technology are regulated within the principles-based Advisers Act framework.

October 01, 2021

Keywords: Artificial Intelligence, Digital Advice, Digital Engagement, FinTech, Robo Advice

Categories & Topics: Compliance, FinTech & Digital

You are now leaving Investment Adviser Association

The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.

You will be redirected to

Click the link above to continue or CANCEL