Six cybersecurity lessons to heed, did a CCO get off easy in an enforcement case, a look at the state of the industry and much ...
The case helps to define that sometimes squiggly line around CCO liability, and conjures advice for how a CCO should act when her superior shows ...
As calls increase that Washington should take a greater regulatory approach when it comes to use of artificial intelligence in financial services, a new report ...
A new SEC enforcement case contains lessons on what not to do if your firm suffers a ransomware attack
Report shows all-time record highs in IAs registered with the SEC, assets under management, and non-clerical employees
Including performance results in advertisements is the most common marketing practice among SEC-registered investment advisers
"Shortening the cycle also means reducing the credit, market, and liquidity risks of the clearinghouse. Lowering risks for market participants and clearinghouses, alike, reduces the ...
You have until Aug. 12th to reply to a request for industry comments from the Treasury Department about your use and concerns about AI in ...
Regulators may not be able to keep up with the speed of artificial intelligence’s development
Avoid this mistake: Advertising performance 'without an accompanying qualification or disclaimer on that page suggesting such results were anything other than performance results of the ...