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Filter By DEI Resources
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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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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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SEC Approves Spot Bitcoin Exchange-Traded Products
On January 10, the SEC granted approval to spot bitcoin exchange-traded products (ETPs), a little over …
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Event of Interest: Morgan Lewis to Host ESG Regulatory Series
Morgan Lewis plans to host a series covering the global influence of Environmental, Social, and Governance …
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SEC Announces Settlement with Credit Suisse Securities on Prohibited Mutual Fund Services
The Securities and Exchange Commission (SEC) announced that Credit Suisse Securities and two other affiliated …
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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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SEC Announces the Release of its Fall Regulatory Agenda
The Securities and Exchange Commission (SEC) announced the release of its 2023 Fall Regulatory Agenda …
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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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MFDF Webinar: “Unique Oversight Considerations for ETFs”
The Mutual Fund Directors Forum and Cohen & Company plan to host a webinar titled, “Unique Oversight …
- Webinar Archive - Fund Compliance: CCO vs. Trustee Perspective
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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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Fund Compliance-CCO vs Trustee Perspectives
PowerPoint Presentation How do Trustees get the most out of their Interaction with the CCO? …
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Capital Markets Subcommittee Hearing Examines SEC Agenda
The House Financial Services Committee’s Subcommittee on Capital Markets held a hearing entitled, “Examining …
- Webinar Archive: Looking Back and Forward at the SEC's Rule for Fair Value
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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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Fifth Circuit Court of Appeals Declines to Review SEC Approval of ‘Nasdaq Rule’
The U.S. Court of Appeals for the Fifth Circuit denied petitions to review the Securities and Exchange …
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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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SEC's Amended Names Rule
What’s in a Name (and What Does it Say About Your Fund)? SEC’s Amended Names Rule Copyright …
- Webinar Archive: What's in a Name (and What Does it Say About Your Fund)? - SEC's Amended Names Rule