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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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PWC Releases 2023 Mutual Fund Directors Governance Survey
PWC recently released their “2023 Mutual Fund Governance Survey” which highlights how investor …
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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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SEC Announces Enforcement Actions Against “AI-Washing” Advisers
On March 18, the Securities and Exchange Commission announced an enforcement action against two investment …
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Event of Interest: Morgan Lewis Plans to Hold AI Webinar Series
The program will touch on the challenges and opportunities AI presents for the regulatory landscapes …
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House Financial Services Committee Rounds Out 2023 With Hearings on Financial Innovation, SROs
The House Financial Services Committee held several hearings to round out 2023 including “Fostering Financial …
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Event of Interest: “Driving Confidence in AI: FS Perspective on Responsible AI”
The EY panel will look at key risk factors, how to enhance collaboration on generative AI governance …
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SEC FY2023 Enforcement Results Released
The Securities and Exchange Commission (SEC) released its Enforcement results for the fiscal year …
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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 …
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SEC Proposes Rule on AI Predictive Analytics
The Securities and Exchange Commission (SEC) proposed a rule to regulate potential conflicts of interest …
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Event of Interest: K&L Gates to Host Generative AI Webinar
The program will focus on the legal and ethical risks, mitigation, and best practices to consider across …
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SEC Announces Charges Against Broker-Dealer Firms for Recordkeeping Failures
The Securities and Exchange Commission (SEC) Division of Enforcement announced charges against 11 …
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Gensler Testifies in Senate Appropriations Subcommittee Hearing on SEC FY24 Budget
The Senate Appropriations Subcommittee on Financial Services and General Government held a hearing …
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Dechert ‘On Point’ Discusses Artificial Intelligence Regulatory Updates
Dechert recently released a regulatory update highlighting the Biden Administration’s regulatory focus …
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New York Attorney General Releases Legislative Language to Regulate Digital Assets at the State Level
According to a press release from the Attorney General’s office, the bill would “require independent …
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Birdthistle Addresses Technology, Changing Demographics at ICI Conference
Director William Birdthistle's remarks focused on three key areas: technological advancement, changing …
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Event of Interest: Seward and Kissel to Host Webinar on Off-Channel Communications and Recordkeeping Responsibilities
Seward & Kissel partners from the firm’s Government Enforcement and Internal Investigations Group will …
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ACA Publishes December 2022 Regulatory Update
ACA published the December 2022 Regulatory Update which covers the SEC’s Division of Enforcement’s 2022 …
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SEC Proposes Equity Market Structure Changes
The Securities and Exchange Commission proposed four new rules that would make significant changes to …
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MFDF Webinar Tomorrow: What the Mutual Fund Industry Should Understand About Digital Assets
The Forum will host a webinar with Perkins Coie to discuss investment and regulatory updates regarding …