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Dimon’s Annual Letter Highlights Challenges for Asset Management
In his annual letter to JP Morgan Chase & Co. shareholders, Chairman & CEO Jamie Dimon warned of several …
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MFDF Publishes Article on AI, What Fund Boards Need to Know
In early April, MFDF published an Investment Lawyer article titled, “Artificial Intelligence …
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Event of Interest: K&L Gates to Host Webinar on AI Regulatory, Compliance Issues for Asset Mangers
Panelists will discuss the future of SEC regulation of AI and predictive data analytics, congressional …
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AI_IL_APR2024
Covering Legal and Regulatory Issues of Asset Management The Investment Lawyer VOL. 31, NO. 4 …
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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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Athena Alliance Releases AI Governance Playbook
Athena Alliance released the “AI Governance Playbook for Boards and Management” that serves to guide …
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FUSE Research Highlights 2024 Net Flows Forecast, Economic Predictions
FUSE research recently released two reports highlighting predictions for fund flows and overall economic …
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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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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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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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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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2024 FGRI Agenda
2024 Fund Governance and Regulatory Insights Conference March 7-8 | Park Hyatt Hotel, Washington, DC …
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SEC, FINRA, NASAA Release AI, Emerging Technologies Investor Alert
The SEC’s Office of Investor Education and Advocacy, along with FINRA and the North American Securities …
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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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FINRA Releases 2024 Regulatory Oversight Report
The Financial Industry Regulatory Authority (FINRA) released its 2024 Annual Regulatory Oversight Report …
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Dear Board Doc: How has cybersecurity oversight changed with the emergence of AI?
Q. Cybersecurity oversight is becoming increasingly complex with emerging threats - how can AI be used …
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Event of Interest: EY to Host Webinar Covering AI Insights for Boards, Finance Professionals
EY plans to hold a webinar titled, “Strategic Perspectives and Insights on Artificial Intelligence for …
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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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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 …