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ACA Highlights 8 Steps CCOs Should Take to Prepare for AI Regulation
These steps include taking an inventory of the firm’s current AI use, assessing the risk, implementing …
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Join the Mutual Fund Directors Forum in Washington DC March 7-8 for the Fund Governance and Regulatory Insights Conference
The conference will allow fund directors, CCOs, and industry colleagues to engage with key topics and …
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SEC EXAMS Division Releases Risk Alert on MNPI
The SEC staff found evidence of advisers that “did not have policies and procedures in place to assign …
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Risk Alert Identifies Deficiencies in Compliance Programs, Board Practices
The staff also looked at fund governance practices, particularly as they relate to the deliberative processes …