IAA Today Archive

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

Keywords: Activist Engagement, Artificial Intelligence      , Compliance, Conflicts of Interest, Cybersecurity, Examination Priorities, Examinations, Fiduciary, Investment Company, Proxy Voting, Reg S-P, SEC, SEC Examinations, Super Intelligence

Categories & Topics: Compliance, Examinations

SEC Division of Examinations Issues Risk Alert Highlighting Issues With Investment Adviser Annual Compliance Reviews

The SEC’s Division of Examinations has issued a risk alert regarding investment adviser annual compliance reviews.

September 15, 2026

Keywords: Compliance, Examinations, Risk Alert

Categories & Topics: Annual Reviews, Compliance, Compliance Programs, Examinations

FinCEN Issues Proposed Rule to Postpone Effective Date of Investment Adviser Rule Until January 1, 2028

On September 22, 2025, FinCEN published a proposed rule to amend the Investment Adviser AML Rule to delay its effective date by two years.

September 29, 2025

Keywords: AML, Compliance, FinCEN, Treasury Department

Categories & Topics: AML/OFAC, Compliance

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

Webinar Recap: Access to Private Markets for Retail Investors 

Hear the latest developments from our recent webinar about individual investors accessing private markets, including through registered and private funds.

June 09, 2025

Keywords: Compliance, Mutual Funds, Private Funds

Categories & Topics: Compliance, Private Funds, Registered Funds

New Restrictions on Investments into Chinese Entities: Key Considerations for Advisers, Funds, and Investors

Investment advisers must comply with the Treasury’s Outbound Investment Rule, which could necessitate changes in the investment strategies and governance of (i) funds advised by U.S. investment advisers and (ii) offshore funds with U.S. person investors.

June 09, 2025

Keywords: Compliance

Categories & Topics: Account Operations, Compliance, International, Operations, Portfolio Management

SEC Announces National Compliance Outreach Seminar

The SEC is planning a virtual national compliance outreach seminar for investment advisers and investment companies on November 7.

October 03, 2024

Keywords: Compliance, SEC Examinations

Categories & Topics: Compliance, Compliance Programs

CCO Liability: Enforcement Director Speech & Update

This article discusses the issue of CCO liability.

December 08, 2023

Keywords: CCO, Compliance, SEC Enforcement

Categories & Topics: Compliance, Compliance Programs, Enforcement