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Filter By DEI Resources
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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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Popular Blog Post: SEC Charges Trustees, Adviser with Liquidity Rule Violations
Last May, the Commission announced charges against Pinnacle Advisors LLC for “aiding and abetting Liquidity …
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Popular Blog Post: Gensler Testifies at House Financial Services Committee Oversight Hearing
This week, the Forum News Feed will highlight popular posts over the last few months. We will return …
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FDIC’s Gruenberg Delivers Remarks on Large Regional Bank Stability Risks
FDIC Chairman Martin Gruenberg noted that “while regional banks may not be as large, complex, and internationally …
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ACA Releases White Paper on “The Expanded ETF Ecosystem”
The report delves into the nuances between traditional passive ETFs as well as newer semi-transparent …
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PCAOB Proposes Rule Covering Audit Standards in Circumstances of Noncompliance
The proposal, entitled “Amendments to PCAOB Auditing Standards related to a Company’s Noncompliance with …
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President Biden Signs Executive Order on U.S. Investment in China
President Joseph Biden issued the “Executive Order on Addressing United States Investments in Certain …
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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 Delivers Remarks on Climate-Risk Disclosure, LIBOR at FSOC Meeting
At a recent meeting of the Financial Stability Oversight Council (FSOC), Securities and Exchange Commission …
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ACA Podcast Highlights Valuation Compliance
ACA Group hosts a podcast series “Compliance in Context” which recently highlighted the importance of …
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House Oversight Chairman Comer Requests Senior Staff Hiring Information from Gensler
House Oversight Committee Chairman James Comer sent a letter to Securities and Exchange Commission …
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Fund Advisor Files for Exemptive Relief for ETF Share Class
Dimensional Fund Advisors filed an application with the Commission to permit the Advisor’s mutual funds …
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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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Gensler Delivers Remarks on AI at National Press Club Event
SEC Chair Gary Gensler delivered remarks at a National Press Club event covering Artificial Intelligence …
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SEC Allows MiFID II No-Action Relief to Expire, Legislators React
The Securities and Exchange Commission (SEC) allowed an almost 6-year old MiFID II temporary no-action …
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K&L Gates Offers Hub on AI, Language Model Policy Developments
K&L Gates recently launched a technology hub focused on policy and regulatory updates in the Artificial …
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MFDF Webinar: Generative AI- It’s Here
Perkins Coie Partners Molly Moynihan and Sumedha Ahuja will provide an introduction to the technology …
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House Republican ESG Working Group Releases Interim Report
The report focuses primarily on the environmental aspect of ESG factors and examines the impacts of the …
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Event of Interest: EY to Host Mid-Year Alternative and Registered Funds Update
Ernst & Young plans to host a webinar titled, “2023 alternative and registered funds midyear …
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SEC Adopts Money Market Fund Reforms Including Mandatory Liquidity Fee
Yesterday, the SEC voted 3 – 2 to adopt amendments to the rule governing money market funds. …