A lesson for compliance officers is that if your shop doesn't pay close enough attention to the rules, your firm could wind up with a ...
Our periodic recounting of what examiners in the SEC’s Division of Examinations are pursuing in adviser exams samples several new exam request letters obtained by ...
A pre-clearance process involving compliance and legal whenever a PM seeks to request an allocation of an upcoming equity offering makes a lot of sense ...
Industry group seeks a 60-day comment period extension of the SEC's proposal on conflicts tied to the use of predictive data analytics
Multiple sources have told RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA advertising rule, and we’ve gotten ...
You have until Oct. 10th to comment on the SEC’s proposal targeting the use of artificial intelligence
'This is the new SEC hunting ground. And we all know why—because they can extract great revenues from it. And it’s an easy kill,' says ...
Firms could 'neutralize' a tool’s bias in favor of the adviser by 'rendering the consideration of the firm-favorable information subordinate to investors’ interests, and thus ...
'It’s just a framework,' the consultant says of the AI result
Baseball great Yogi Berra once said 'it ain’t over until it’s over.' With the SEC, it may never be over