IAA Today Archive

AI, Predictive Analytics Identified as Top Compliance Concern Among Advisers

Artificial Intelligence and predictive analytics have ranked as the leading priority among compliance officers, according to the 2025 Investment Management Compliance Testing Survey.

July 22, 2025

Keywords: AML, Artificial Intelligence      , Compliance, Compliance Testing Survey, Cybersecurity

Categories & Topics: Industry Trends, Industry-Level

2024 Forum Highlights Challenges, Opportunities for Firm Leaders

AI, cybersecurity, leadership, and more were the hot topics discussed by senior executives from a diverse group of advisory firms at IAA’s 2024 Leadership Forum.

October 11, 2024

Keywords: AI, Artificial Intelligence      , Cybersecurity, Leadership Conference

Categories & Topics: Industry Trends, Industry-Level, Member Benefits, Membership

Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern

Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.

July 17, 2024

Keywords: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research

Categories & Topics: Industry Trends, Industry-Level

Updated SEC Agenda Includes Significant Reproposals

Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.

July 11, 2024

Keywords: AML, CFTC, Custody, Cybersecurity, DOL, ESG, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely

Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.

December 08, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Pivots to Finalizing Rules, Other Proposals Coming

Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.

June 15, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Officials in the Spotlight at IAA Compliance Conference

More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.

March 17, 2023

Keywords: Compliance Conference, Cybersecurity, Marketing Rule, SEC, SEC Enforcement, SEC Examinations, Smaller Advisers

Categories & Topics: Industry Trends, Industry-Level

IAA Briefs Members on 2023 Policy Landscape

In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.

February 10, 2023

Keywords: Advocacy, Cybersecurity, ESG, IAA on Capitol Hill, Marketing Rule, Outsourcing, SEC Investment Management, Webinars

Categories & Topics: Industry Trends, Industry-Level