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Senators Introduce Legislation Targeting AI Financial Market Threats
In December, Senator Mark Warner (D-VA) and Senator John Kennedy (R-LA) introduced the “Financial Artificial …
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House Financial Services Subcommittee Holds Hearing on Global Governance
The House Subcommittee on Financial Institutions and Monetary Policy held a hearing entitled, “The Tangled …
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IM Director Birdthistle Delivers Remarks on Private Funds, Balancing Financial Regulation
The Securities and Exchange Commission’s Director of Investment Management, William Birdthistle, delivered …
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Senate Banking Committee Hears Testimony on Cryptocurrency Issues
the Senate Banking Committee held a hearing entitled, “Crypto Crash: Why Financial System Safeguards …
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SEC’s Enforcement Director Slams Delays in Litigation, Document Production
Grewal's remarks note that while a “zealous advocacy” is required, delay tactics, slow document …
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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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SEC RIC Examinations
PowerPoint Presentation Mutual Fund Directors Forum Observations from SEC Examinations of Registered …
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Investment Management Outlook for 2022: Virtual Work, Digitization, ESG Regulation
The Oliver Wyman report outlined potential bright spots for the industry, including savings from the …
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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 …
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SEC Updates Disclosure Requirements for Public Companies
The SEC said its disclosure requirements have not undergone significant revisions in over 30 years, and …
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Law Firm Memo Explores Key Questions on Data, Risks
A memo by Shearman & Sterling partner Nathan Green focuses on data, regulation and risks and can …
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A Consequence of Money Fund Regulations Poses Systemic Risk, Report Says
A report by a Federal Reserve Bank of Boston markets specialist explores the impact of money market fund …