Tag: Technology
Smart Contracts and the Future of Financial Instruments
The ability to integrate smart contracts into the technology stack of financial markets will lead to disruptive changes in how securities are built, held, and traded.
October 02, 2024
Tags: Blockchain, Technology
5 Questions Every Asset Manager Should Ask a Tech Vendor – Before You Commit
Vendor relationships are critical to operating any investment management business. The right partner can drive significant value for your firm and pay dividends long term. But how do you find the right one in a sea of offerings?
November 01, 2023
Tags: FinTech, Outsourcing, Technology
SEC Proposes Rules on Advisers’ Use of Technology
On Wednesday, the SEC proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
July 27, 2023
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
Tags: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions
IT Pros Discuss Top Five Tech Priorities
IT Pros Discuss Top Five Tech Priorities December 9, 2020 Investment technology is an increasingly important part of both the value proposition and the cost equation for an asset management...
December 09, 2020
Tags: Business Operations, Columns, Leadership Conference, Takeaways, Technology
The CCO in a High Tech World: Insights from the IAA Compliance Conference
The CCO in a High Tech World: Insights from the IAA Compliance Conference July 10, 2020 The challenges of overseeing compliance and risk in an ever-changing technology environment were...
July 10, 2020
Tags: Privacy, Compliance Conference, Cybersecurity, Technology
Maximizing the Benefits of Compliance Technology
Maximizing the Benefits of Compliance Technology By Carlos Guillen, President & CEO, BasisCode Compliance LLC July 10, 2020 It has now been almost 20 years since the first computer...
July 10, 2020
Tags: FinTech, Columns, Compliance, Guest Column, Technology
Urges Agency to Extend Comment Period Given Breadth of Request The IAA has submitted a comment letter to the SEC in response to the agency’s August 27th Request for Information...
October 12, 2021
Tags: Digital Advice, Robo, Technology
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Expose
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Exposed PII of Thousands of Clients September 3, 2021 Two SEC-registered investment advisers, four dual registrants, and...
September 07, 2021
Tags: Digital Advice, Robo, Technology
SEC Requests Comment on Adviser Digital Engagement Practices
The SEC is requesting information and public comment on the use of digital engagement practices by broker-dealers and investment advisers, including behavioral prompts, differential marketing, gamification, and other design elements...
September 03, 2021
Tags: Digital Advice, Robo, Technology
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
