Home SEC: Regulators

SEC: Regulators

Young Asian businessman working with piles of papers on the desk of financial business ideas.
The SEC's Division of Investment Management shares its experiences with its new procedures for expedited reviews and provides tips to applicants
Firm was late in disclosing conflicts, SEC claims
SEC Chairman Gensler
"As to artificial intelligence, this technology already is playing a part in call centers, account openings, compliance programs, trading algorithms, sentiment analysis, robo-advisers, and brokerage ...
Compliance's 'one-way ratchet' may mean fewer, bigger firms
Gensler's strategic silence may help repair relations with hedge funds
'Track changes' approach gives insight into new regime
'The American public inevitably get hurt,' Gensler says
'The markets should work for the benefit of investors and issuers—not the other way around...'
Fisheries case could unwind decades of administrative law
'It’s a much more expansive universe,' expert warns
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination