Cybersecurity Archives

IAA Calls on SEC for More Time on Reg S-P

The IAA has submitted a letter urging the SEC to extend the compliance date for Regulation S-P and to consider refinements to the rule.

July 31, 2025

Tags: Privacy, Cybersecurity, Data Security

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

Tags: AML, Artificial Intelligence , Compliance, Compliance Testing Survey, Cybersecurity

Ongoing Phishing Scheme Impersonating the SEC

A phishing operation in which fraudulent emails look like official SEC communications is targeting SEC-registered advisers.

June 27, 2025

Tags: Cybersecurity

SEC Withdraws Outstanding Rule Proposals; Names New IM Director

A big win for advisers and IAA Advocacy: The SEC has named a new IM Director and withdrawn outstanding rule proposals that the IAA has pressed the SEC to confirm that it did not plan to adopt.

June 13, 2025

Tags: Custody, Cybersecurity, ESG, Outsourcing, SEC Investment Management

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: 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

Takeaways from SEC Compliance Outreach Program

Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.

November 11, 2024

Tags: AML, Artificial Intelligence , Cybersecurity, Digital Assets, Fiduciary, Marketing Rule, Private Funds, Trading

SEC Publishes 2025 Examination Priorities

SEC’s 2025 examination priorities include fiduciary duty, effectiveness of compliance programs, cybersecurity, and artificial intelligence.

October 21, 2024

Tags: Artificial Intelligence , Cybersecurity, Fiduciary, Private Funds, SEC Examinations

Privacy and Cybersecurity: How Advisers Must Protect Their Clients’ Most Valuable Asset

Investment advisers must keep up with evolving federal, state, and cross-border regulatory obligations with respect to client data, privacy, and cybersecurity.

October 18, 2024

Tags: Privacy, Cybersecurity, Data Security

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

1 2 3 … 6 Next »

You are now leaving Investment Adviser Association

The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.

You will be redirected to

Click the link above to continue or CANCEL

IAA Today

You are now leaving Investment Adviser Association