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
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
Preparing for an AI-Driven Future | 5 Tips for Compliance Professionals
Five practical tips for how compliance teams can prepare to implement artificial intelligence technology at an investment adviser.
July 16, 2026
Managing the Risk of AI | 7 Tips for Compliance Professionals
By applying core compliance principles pragmatically, compliance teams can help their organizations realize the potential to operate with greater scale and efficiency.
June 18, 2026
Webinar Recap: AI Note-Taking Tools
The IAA recently hosted a webinar with K&L Gates addressing the regulatory landscape surrounding generative AI use for investment advisers, common use cases, the risks of its use advisers should be aware of, and best practices for risk management and governance.
July 28, 2025
Keeping Pace with AI Adoption | A Roadmap for Compliance
Takeaways from the AI: Promising Use Cases, Risk Management, and Addressing Conflicts panel at the 2025 IAA Investment Adviser Compliance Conference.
May 02, 2025
SEC to Host Roundtables on Crypto and AI, AI Also Discussed at Investor Advisory Committee
The SEC is holding public roundtables in March on crypto assets and artificial intelligence.
March 06, 2025
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
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