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
Updated SEC Agenda Includes Significant Reproposals
Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.
July 11, 2024
A Layperson’s Briefing on Generative AI
It’s clear that artificial intelligence (AI) is one of the hottest topics across any industry. But what exactly is generative AI, and how can it be used in the investment management world?
June 14, 2024
SEC Finalizes its Data Privacy (Reg S-P) Rule – What You Need to Know
The IAA believes that advisers should protect the confidentiality of client PII and inform clients of any breaches. We thus support requirements for advisers to have a principles-based incident response program that addresses unauthorized access to or use of client PII and notification of a breach to affected clients.
May 16, 2024
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.
May 14, 2024
NIST Releases New Cybersecurity Framework
New cybersecurity framework, intended to guide all types of organizations, was published by the National Institute of Standards and Technology (NIST).
February 26, 2024
SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely
Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.
December 08, 2023
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
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