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AI Working Group

The AI Working Group is a forum for legal and compliance professionals at IAA advisory firm members to discuss regulatory, compliance, and risk governance issues stemming from the use of artificial intelligence (AI). Investment advisers have long used AI technology in connection with providing asset management services, including for example, to personalize client interactions and advice and to manage compliance and risk functions. The rapidly evolving technology, and in particular generative AI, promises new benefits but also raises new and complex regulatory and compliance concerns, with the SEC increasingly focusing on how advisers are deploying this frontier technology. The AI Working Group will meet regularly to explore these issues.

Meeting Frequency: Ad hoc

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IAA Staff Liaison

Sanjay Lamba
Associate General Counsel

We encourage all members to participate in our Committees, Working Groups, and Forums.

To join the AI Working Group or its online community on the IAA Exchange, please contact or call (202) 293-4222.

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