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
Tags: Pay-to-Play
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
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
New Fiduciary Rule: An IAA Webinar Recap
Here's what you need to know about the IAA's recent DOL webinar.
July 12, 2024
Navigating SEC and NFA Examinations with Mock Exams
KPMG joined the IAA for a presentation on conducting mock exams to help advisers navigate SEC and NFA examinations.
May 02, 2024
Tags: Examinations, NFA
SEC Continues to Focus on Off-Channel Communications
At the 2024 IAA Investment Adviser Compliance Conference, a panel of compliance experts discussed the SEC’s current focus on off-channel communications and how advisers should respond.
April 19, 2024
Tags: Books & Records, Off-Channel Communications, Recordkeeping, SEC Enforcement
The IAA Forms AI Working Group
The IAA has formed the AI Working Group to assist its members in navigating the regulatory and compliance issues around rapidly evolving AI technology.
March 14, 2024
Tags: AI, Artificial Intelligence , Exams
2023 IAA Compliance Workshops Takeaways – Off-Channel Communications, AI
A big thank you to everyone who helped make the 2023 IAA Compliance Workshops a success. If you didn't make it to a Compliance Workshop this year, here's what you missed.
November 16, 2023
Tags: Compliance Workshops, Examinations
5 Questions Every Asset Manager Should Ask a Tech Vendor – Before You Commit
Vendor relationships are critical to operating any investment management business. The right partner can drive significant value for your firm and pay dividends long term. But how do you find the right one in a sea of offerings?
November 01, 2023
Tags: FinTech, Outsourcing, Technology
AI, Succession, and More in Chicago This September
The IAA’s Midwest Leadership Forum is an opportunity for senior executives to meet for a high-value program on a range of critical topics. This year, we are taking a regional approach with a half-day agenda on September 27 in Chicago.
August 18, 2023