Category: IAA Voices
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
Tags: Compliance
Webinar Recap: Regulation S-P, Cybersecurity, and AI
Upcoming compliance dates for the SEC’s adopted amendments to Regulation S-P pose changing requirements for investment advisers.
May 27, 2025
Tags: Cybersecurity, Reg S-P
Webinar Recap: Navigating the Evolving Digital Asset Regulatory Landscape
As regulatory frameworks for digital assets continue to develop, investment advisers must stay informed about emerging policies and compliance requirements. The IAA recently hosted a webinar on this topic — here’s what you might have missed.
May 15, 2025
Tags: Cryptocurrency, Digital Assets
Same Diligence, Different Emphasis | The Outlook for SEC Exams and Enforcement
With so much in flux in Washington, many investment advisers are wondering: Will the SEC exam and enforcement environment be changing under the new administration?
May 15, 2025
Tags: Compliance Conference, Examinations, SEC Enforcement, SEC Examinations
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
Tags: Artificial Intelligence
AML Compliance Deadline is January 1 | Expert Tips For Getting Ready
Takeaways from the New Anti-Money Laundering Rules for Advisers panel at the 2025 IAA Investment Adviser Compliance Conference.
April 25, 2025
Additional Sample SEC Exam Letters Posted In IAA Resource Center
The IAA has posted several additional sample SEC examination letters in the Resource Center of our website.
April 10, 2025
Tags: Examinations, SEC Examinations
Highlights from the 2025 IAA Compliance Conference
In case you missed the 2025 Compliance Conference, here are some key takeaways.
March 17, 2025
Tags: Compliance Conference, Hester Peirce, SEC
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
Practical Strategies to Deal with Imposter Frauds on WhatsApp and Other Social Media Platforms
Recap of the Latham & Watkins presentation to help advisers identify, prevent, and respond to imposter frauds.
November 22, 2024
Tags: Fraud, Recordkeeping, Social Media
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