SEC Committee Discusses Arbitration, Alternative Assets, and Finfluencers
The SEC’s Investor Advisory Committee discussed arbitration clauses, retail investor access to alternative assets, and financial influencers.
December 13, 2024
SEC Committee Discusses Arbitration, Alternative Assets, and Finfluencers
The SEC’s Investor Advisory Committee discussed arbitration clauses, retail investor access to alternative assets, and financial influencers.
December 13, 2024
2024 IAA Compliance Workshops – Cyber/Data Privacy, AI, Marketing
2024 IAA Compliance Workshops wrap-up and thank you to speakers.
December 10, 2024
A federal court in Texas recently issued a preliminary injunction prohibiting the government from collecting beneficial ownership information reports under the Corporate Transparency Act.
December 06, 2024
Problematic SEC Dealer Rule Vacated
The SEC’s problematic rule has been fully vacated by a Texas district court.
November 22, 2024
Practical Strategies to Deal with Imposter Frauds on WhatsApp and Other Social Media Platforms
Recap of the Latham & Watkins presentation to help advisers identify, prevent, and respond to imposter frauds.
November 22, 2024
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
Harnessing Generative AI: Transforming the Investment Advisory Landscape
How can advisers go from experimentation to deployment of generative AI tools? Check out the recording of recent for answers.
November 11, 2024
EU AI Act and its Impact on US Fiduciary Investment Advisers
The EU AI Act applies to a number of different entities in the AI supply chain. What does that mean for U.S. fiduciary investment advisers that are established or located in the EU and are “deployers” of AI systems?
November 07, 2024
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