SEC Announces 2027 Examination Priorities
The SEC’s Division of Examinations has released its FY 2027 examination priorities, highlighting continued scrutiny of investment advisers’ fiduciary obligations, conflicts of interest, compliance programs, cybersecurity, and emerging technologies.
October 23, 2026
2026 IAA Compliance Workshops: Recap
IAA Compliance Workshop shared expert views on practical strategies for SEC exam preparedness, strengthening cybersecurity, implementing amended Regulation S-P, managing third-party risks, and addressing AI governance and emerging threats.
October 19, 2026
SEC Proposes to Allow Cross Trading of Fixed Income Securities for Registered Funds
The SEC proposed amendments to ICA Rule 17a-7 to restore registered funds’ ability to cross trade most fixed-income securities, as urged by the IAA.
October 13, 2026
SEC Warns Investment Managers Against Collaborating on Proxy Matters
SEC warns that coordinated shareholder engagement, including activity conducted through intermediaries, may trigger Section 13(d) filing obligations.
October 08, 2026
SEC Proposes to Modernize Custody Rule, Responding to Several IAA Calls for Change
The SEC has proposed a framework for the custody of crypto assets and to modernize several outdated aspects of the Custody Rule.
October 05, 2026
IAA Welcomes Publication of SEC Examination Handbook
New SEC Exam Handbook provides greater clarity and transparency regarding the examination process and what registrants can expect before, during, and after an SEC examination.
October 01, 2026
Survey Highlights Growing AI Adoption and Compliance Questions Among Advisers
Investment advisers are increasingly incorporating AI into their legal and compliance functions, but firms remain cautious about expanding AI into regulated workflows, according to the Legal & Compliance AI Survey conducted by the IAA and Norm Ai. A recent joint webinar dove into the results.
September 28, 2026
IAA Files Comment Letter Supporting SEC Regulation E-Delivery Proposal
The IAA filed a comment letter strongly supporting the SEC’s proposed Regulation E-Delivery and recommending refinements to make the framework more evergreen, flexible, and operationally workable.
September 21, 2026
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