Artificial intelligence is the talk of the investment town, but investment advisers are struggling to understand exactly how AI will impact their businesses and how they can best manage its risks.
More than 600 investment advisory industry professionals convened at the 2024 IAA Investment Adviser Compliance Conference. Across two days, attendees got up to speed on critical industry topics and collaborated with their peers from across the country.
The compliance date for the new Marketing Rule is now five months in the rear-view mirror. How has the implementation process gone so far, and what questions still need to be resolved?
High Tech in High Finance | SEC’s FinHub, Compliance Automation April 19,2021 As in other industries, technological change is driving innovation in asset management. At the 2021 IAA Investment...
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules April 7, 2021 “There is a tremendous amount of activity,” stressed Kirk Nahra of WilmerHale. “We’ve seen almost an...
Compliance Conference Takeaways While the pandemic has slowed down much of life, it has had little impact on one of the bigger challenges that an investment advisory compliance effort will...
Navigating Regulatory Change in Europe | Four Hot Topics March 16, 2021 With Brexit roiling the waters, the regulatory environment in Europe is particularly dynamic at the moment. In the...
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