Managing the Risk of AI | 7 Tips for Compliance Professionals
By applying core compliance principles pragmatically, compliance teams can help their organizations realize the potential to operate with greater scale and efficiency.
June 18, 2026
Featured IAA Today
SEC Issues Risk Alert on Economic Conflicts of Interest
June 9, 2026 Risk Alert discussing the SEC staff’s observations from examinations related to investment advisers’ obligations concerning economic conflicts of interest and associated fee practices.
June 10, 2026
IAA Regulatory Tracker: 16 Months In
We’re 16 months into the Trump administration and continue to see significant changes in the regulatory landscape. This 8th edition of the IAA Tracker includes the most relevant regulatory developments...
May 29, 2026
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
The CFTC’s Qualified Eligible Person Exemption for Commodity Pool Operators
After nearly a decade and a half of operating private funds pursuant to registration as commodity pool operators (CPOs), certain CPOs may be able to withdraw from CPO registration under new CFTC no-action relief.
April 10, 2026
SEC Intends to Increase Assets Under Management and Net Worth Thresholds for “Qualified Clients”
The SEC intends to make inflation adjustments to the assets-under-management and net worth tests in the Advisers Act rule regarding performance-based fees.
April 03, 2026
DOL Proposes New ERISA Safe Harbor for Selecting Investment Options
What you need to know: DOL has proposed a new ERISA Safe Harbor for selecting investment options, including alternatives.
March 31, 2026