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.
The IAA outlined considerations for regulations on the use of technology in financial services, the use by advisers of technology, and areas of existing regulations that would benefit from a retrospective review.
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.
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