Category: IAA Voices
Time to Rethink the SPIVA Scorecard’s View of Active Management
How the SPIVA U.S. Scorecard Understates the Performance of Actively Managed Mutual Funds presents a compelling case for a more balanced view of active management across both equity and fixed income.
May 05, 2026
Applying Bedrock Principles on the Cutting Edge
At the 2026 IAA Investment Adviser Compliance Conference in March, a panel provided suggestions for advisers that are thinking about taking the leap into the digital arena.
April 16, 2026
Tags: Blockchain, Crypto, Cryptocurrency
Prediction Markets and Event Contracts: Takeaways from IAA Member Call
This article summarizes key insights from an IAA member call on regulatory considerations for prediction markets.
March 06, 2026
Tags: CFTC, Code of Ethics, Derivatives, Prediction Markets
Hedge Clauses Under the SEC Microscope, Again
SEC scrutinizing the use of hedge (liability limiting) clauses in retail advisory agreements with clients.
February 17, 2026
2025 IAA Compliance Workshop Takeaways
Takeaways from 2025 IAA Compliance Workshops and thank you to speakers.
December 15, 2025
Tags: AI, Compliance Workshops, Examinations, Regulation S-P & Data Privacy
Executive Roundtable Recap: The New Federal Tax Landscape
At the October 23 Executive Roundtable, Michael Stravin, Principal at Wolf & Company, P.C., outlined key provisions of the One Big Beautiful Bill Act—the most significant federal tax overhaul since 2017—highlighting its permanent rate reductions, expanded deductions, and new incentives for both individuals and businesses.
November 07, 2025
Tags: Congress, Small Business, Tax
Recap: 2025 IAA Policy & Leadership Forum
On September 15–17, investment adviser senior leaders from across the country gathered in Washington, D.C., for the 2025 IAA Policy & Leadership Forum—a combined Adviser Advocacy Day and Leadership Forum.
September 22, 2025
Tags: Advocacy
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
IAA Members and Aon Discuss Cyber Insurance and Risk
Learn about cyber protection and insurance policies from Aon in this member call.
June 13, 2025
Tags: Privacy, Cybersecurity, Insurance, Reg S-P
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
Tags: Compliance, Mutual Funds, Private Funds
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