Cybersecurity

'Current regime isn't working,' Peirce says

This is the SEC's new proposed rule directing IAs to gauge the potential of conflicts created by use of AI-like technologies

The adviser has established a committee to survey how AI may be being used throughout the organization and to potentially develop guidelines. 'We’re working across ...

'The SEC also could benefit from staff making greater use of AI in their market surveillance, and disclosure reviews, exams, enforcement, and the like'

"Conflicts may arise to the extent that advisers or brokers are optimizing to place their interests ahead of their investors’ interests. That’s why I’ve asked ...

'There’s a logical hole somewhere in the network architecture...'

'This is not where anybody wants to be a first mover...'

Grewal strongly cautioned that Enforcement has "zero tolerance for gamesmanship around the disclosure decision"

"Cybersecurity is therefore foundational to maintaining the integrity of not just our securities markets, but our economy as a whole"

Association cautions slew of adviser proposals will "significantly overhaul the current regulatory regime" under the Advisers Act