Episode 6 - 2026 IAA Compliance Conference Recap

Registered investment advisers are operating in an environment where SEC exams, enforcement priorities, and technology risks continue to evolve. At the recent Investment Adviser Association conference in Washington, DC, regulators emphasized cooperation and remediation, a renewed focus on fraud and market manipulation, and ongoing scrutiny of marketing and advertising practices. Our Investment Management & Securities team helps RIAs translate those themes into practical steps. The conference highlighted several areas that should be on every adviser’s radar: avoiding “no conflicts of interest” claims on websites and marketing materials, carefully handling testimonials and third‑party ratings, and reviewing dual‑hatted adviser arrangements where brokerage and advisory services intersect. The discussions also underscored the importance of cybersecurity programs, Reg SP incident response planning for smaller advisers, and thorough vendor due diligence for technology and AI tools that handle client data. Many firms are moving cybersecurity out of a short policy section and into a dedicated manual with its own processes, procedures, and data‑mapping expectations. By staying ahead of these developments, RIAs can respond more effectively to exam findings, remediate issues, and align their policies, procedures, and disclosures with current expectations. For information purposes only; not legal advice. Results may vary depending on your particular facts and legal circumstances. No aspect of this advertisement has been approved by the Supreme Court of New Jersey. This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com.