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Filter By DEI Resources
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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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Nasdaq Releases Report on Expected 2024 Boardroom Trends
The report highlights areas in risk oversight, technology and data security, and board …
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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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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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FINRA Releases 2024 Regulatory Oversight Report
The Financial Industry Regulatory Authority (FINRA) released its 2024 Annual Regulatory Oversight Report …
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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: 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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MFDF Series: Dear Board Doc - How do I keep up with rapid advancements in AI and what is my role with respect to its use in the fund industry?
Dear Board Doc Question: AI is evolving rapidly, and it is impacting many aspects of the financial services …
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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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Event of Interest: Brookings to Host “The Importance of Financial Data Collection and Standardization”
The Brookings Institution plans to host an event titled, “The Importance of Financial Data Collection …
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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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President Biden Signs Executive Order on AI
President Joseph Biden signed the “Executive Order on the Safe, Secure, and Trustworthy Development and …
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Forum Webinar: Barrington’s 2023 Audit Survey Summary of Findings
The Mutual Fund Directors Forum and Barrington Partners will host a webinar entitled, “Barrington’s 2023 …
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Event of Interest: Impact of Artificial Intelligence on Data Privacy, Risk
Panelists will discuss how AI impacts data privacy, risk and governance today and actions organizations …
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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: EY to Host Webinar on Cybersecurity Developments for Audit Committees
The EY Center for Board Matters plans to host a webinar entitled, “Audit Committee Responses to New Cybersecurity …
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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 …