IAA Voices Archives

2024 IAA Compliance Workshops – Cyber/Data Privacy, AI, Marketing

2024 IAA Compliance Workshops wrap-up and thank you to speakers.

December 10, 2024

Tags: Compliance Workshops, Examinations

Harnessing Generative AI: Transforming the Investment Advisory Landscape

How can advisers go from experimentation to deployment of generative AI tools? Check out the recording of recent for answers.

November 11, 2024

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

Tags: Artificial Intelligence , European Commission

Harris/Walz Ticket Raises Advisers Act Pay-to-Play Rule Considerations

A brief review of the Pay to Play Rule, and some of the common compliance foot faults seen in the industry.

October 23, 2024

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

Tags: AI, Artificial Intelligence , Cybersecurity, Leadership Conference

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

Tags: Blockchain, Technology

2024 IAA Virtual Compliance Workshop Takeaways – Cyber/Data Privacy, AI, Marketing Rule

Takeaways from the 2024 IAA Virtual Compliance Workshop.

September 16, 2024

Tags: AI, Compliance Workshops, Cybersecurity, Examinations, Marketing Rule

Reversing Chevron Deference: An IAA Webinar Recap

An IAA webinar discussed the implications of overturning Chevron and other recent Supreme Court rulings for the investment adviser industry.

July 26, 2024

Tags: Supreme Court

New Fiduciary Rule: An IAA Webinar Recap

Here's what you need to know about the IAA's recent DOL webinar.

July 12, 2024

Tags: DOL, ERISA, PTE

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