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Morgan Lewis Plans to Host Technology Webinar Series
Several of these programs may be of interest to fund directors as they plan to discuss engaging with …
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Division of Investment Management to Host Conference on Emerging Trends
The conference, started in 2023 by former IM Director William Birdthistle, will feature remarks from …
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SEC Releases Registered Fund Statistics Report
The Securities and Exchange Commission (SEC) released a new report titled “Registered Fund …
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SEC Releases Risk Alert on Shortened Settlement Cycle
The Division of Exams highlights the impact the shortened settlement cycle will have on market participants …
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Fed Chair Powell Testifies on Capitol Hill
Federal Reserve Board Chairman Jerome Powell delivered testimony as part of the “Semi-Annual Monetary …
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MFDF Webinar: Understanding Spot Bitcoin Exchange-Traded Products
The Mutual Fund Directors Forum, Morgan Lewis, and EY will host a webinar titled “Understanding Spot …
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Yellen Testifies on Capitol Hill on FSOC Annual Report
The hearings focused on the regulation of nonbank financial companies, SIFI designation, Basel III …
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Gensler Delivers Remarks on Artificial Intelligence in Finance
Chair Gensler emphasized that AI has the potential to transform markets, offering benefits such as improved …
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MFDF Webinar: Potential Hurdles of Investment in China and other Emerging Markets
Ama A. Adams, Managing Partner at the Ropes & Gray Washington, DC office and Paulita A. Pike, Managing …
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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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Event of Interest: K&L Gates to Host 2023 Regulatory Year in Review Webinar
K&L Gates partners will look back at the Commission’s 24 adopted rules and 18 new proposals, while also …
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McKinsey Article Addresses AI Risk, Regulatory Response
A McKinsey article addresses the rapid advancement of generative artificial intelligence (AI) and the …
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FSOC Releases 2023 Annual Report
The Financial Stability Oversight Council (FSOC) released its annual report highlighting its areas of …
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ACA Client Alert Highlights SEC Focus on AI use by Investment Advisers
The Division of Examinations has initiated a sweep of investment advisers on how AI-based tools are being …
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MFDF Webinar: “Unique Oversight Considerations for ETFs”
The Mutual Fund Directors Forum and Cohen & Company plan to host a webinar titled, “Unique Oversight …
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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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FSOC Overhauls SIFI Designation Process
The Financial Stability Oversight Council (FSOC) voted to overhaul the process to designate nonbank financial …
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Gensler Delivers Remarks on Securities Law Enforcement
Gary Gensler delivered remarks on the importance of attorneys, accountants, and compliance professionals …
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SEC Enforcement Director Delivers Remarks on Compliance Programs, Professionals
Gurbir Grewal the Director of the Division of Enforcement at the Securities and Exchange Commission …
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SEC 'Off-Channel' Communications Sweep Settlement Update
The Securities and Exchange Commission (SEC) announced settlements with 10 broker-dealers and affiliated …