The ability to integrate smart contracts into the technology stack of financial markets will lead to disruptive changes in how securities are built, held, and traded.
Vendor relationships are critical to operating any investment management business. The right partner can drive significant value for your firm and pay dividends long term. But how do you find the right one in a sea of offerings?
On Wednesday, the SEC proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
Urges Agency to Extend Comment Period Given Breadth of Request The IAA has submitted a comment letter to the SEC in response to the agency’s August 27th Request for Information...
The SEC is requesting information and public comment on the use of digital engagement practices by broker-dealers and investment advisers, including behavioral prompts, differential marketing, gamification, and other design elements...
SEC’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology July 12, 2021 In a lengthy open meeting on July 7, the SEC’s...
Defense Spending Bill Establishes Artificial Intelligence Initiative January 25, 2021 Congress has passed the National Artificial Intelligence Initiative Act (NAIIA) as part of the National Defense Authorization Act (NDAA)...
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