Advisers settle AI 'washing' cases, what states' battles over ESG mean to you, more off-channel communications woes and much more
A final DOL fiduciary duty rule appears to be getting closer
The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...
Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...
"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...
"If an investment adviser is claiming to employ AI and offering you investment advice, or a company is making claims about incorporating AI technology in ...
Gain ideas from this adviser's code of ethics
Here's an example of a personal trading policy and procedure
SEC's Gensler grilled over new rules, tips to ease your Form ADV update, risks and resources of AI and much more
A common deficiency seen in SEC exams stems from a private fund adviser not updating its Form ADV, Part 1 answer after the distribution of ...