Taking a Look at AI: Opportunities & Risks for Advisers
Few topics have caused as much buzz in recent months as AI. To help members evaluate this new technology, its potential use cases, and the associated risks, the IAA brought together experts for a candid and enlightening discussion.
July 20, 2023
IAA Calls for Holistic Review of Rule Proposals
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
June 20, 2023
SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
IAA Supports SEC Proposal on Protection of Client Information with Recommended Changes
The IAA supports the SEC proposal to expand rules that protect privacy of investor information with recommended changes.
June 05, 2023
SEC Staff Issues Risk Alert on Safeguarding Client Information at Branch Offices
Reflecting an ongoing focus on both oversight of branch offices and safeguarding of client information, the SEC’s Division of Examinations has issued a Risk Alert on the “importance of establishing written policies and procedures for safeguarding customer records and information at branch offices.”
May 01, 2023
Developing a Programmatic Approach to Cybersecurity Oversight
This article discusses how private equity firms can better manage cybersecurity across their portfolio companies.
April 25, 2023
10 Tips for Making Your Firm Cyber-Prepared
Cybersecurity is on the SEC’s mind. Not only is cyber risk management a rulemaking priority, but information security and operational resiliency is also a 2023 priority for the Division of Examinations. Here are tips from CCOs on becoming cyber-prepared.
April 12, 2023
SEC proposes expanding its data privacy rules to require advisers to implement incident response programs and notify clients of unauthorized access or use of sensitive client information; reopens comment period for adviser cybersecurity proposal.
March 16, 2023
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