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
Off-Channel Communications: Confronting Compliance Challenges
This article outlines the compliance challenges associated with off-channel communications and discusses key considerations for complying with recordkeeping, supervisory and other compliance obligations.
May 09, 2024
SEC Continues to Focus on Off-Channel Communications
At the 2024 IAA Investment Adviser Compliance Conference, a panel of compliance experts discussed the SEC’s current focus on off-channel communications and how advisers should respond.
April 19, 2024
Risk Alert and FAQs on T+1 – Shortening the Trade Settlement Cycle
SEC staff issues Risk Alert and FAQs on T+1 transition.
March 28, 2024
SEC Brings New Off-Channel Communications Cases, More to Come
SEC and CFTC enforcement cases for recordkeeping and supervision failures involving off-channel electronic communications on personal devices.
August 10, 2023
SEC Finalizes T+1 Rules, Proposes Massive Custody Rule Changes
The SEC has finalized its rules to shorten the standard settlement cycle for most securities transactions and proposed amendments to the custody rule and related recordkeeping and Form ADV changes.
February 16, 2023
Recordkeeping Cases Ensnare Large Brokers, RIAs Next
On the heels of a group of recent settlements of charges relating to record-preservation practices at large brokerage firms, the SEC is turning its attention to investment advisers – conducting an enforcement sweep of record-retention practices at large advisers of all types.
October 19, 2022
New York-Based Adviser Fined for Causing Brokers to Violate Short Sale Rules
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May 13, 2022
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