SEC Withdraws Outstanding Rule Proposals; Names New IM Director
A big win for advisers and IAA Advocacy: The SEC has named a new IM Director and withdrawn outstanding rule proposals that the IAA has pressed the SEC to confirm that it did not plan to adopt.
June 13, 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
SEC Commissioner Peirce Outlines New Approach to Crypto Regulation
SEC Commissioner Hester Peirce issued her first policy statement since being appointed to lead the Commission’s new Crypto Task Force.
February 07, 2025
EU AI Act and its Impact on US Fiduciary Investment Advisers
The EU AI Act applies to a number of different entities in the AI supply chain. What does that mean for U.S. fiduciary investment advisers that are established or located in the EU and are “deployers” of AI systems?
November 07, 2024
Smart Contracts and the Future of Financial Instruments
The ability to integrate smart contracts into the technology stack of financial markets will lead to disruptive changes in how securities are built, held, and traded.
October 02, 2024
A Layperson’s Briefing on Generative AI
It’s clear that artificial intelligence (AI) is one of the hottest topics across any industry. But what exactly is generative AI, and how can it be used in the investment management world?
June 14, 2024
The SEC’s Amended Internet Adviser Rule
The SEC has amended the internet adviser exemption to require advisers relying on this exemption to have internet clients only.
March 28, 2024
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