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Filter By DEI Resources
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Fuse Research Highlights Trends When Bringing Mutual Funds to Market
According to the Fuse data, of funds launched between the second quarter of 2013 and the second quarter …
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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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Event of Interest: Nasdaq Center for Board Excellence Plans “Cyber Risk and the Board”
On Tuesday, February 27 at 12:00pm ET, the Nasdaq Center for Board Excellence plans to host a webinar …
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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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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: 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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Fuse Research Releases Multi-Series Trust Board of Directors Data
Fuse Research recently released benchmarking data highlighting various aspects of fund boards of …
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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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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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Ropes & Gray Series Highlights Updates to Glass Lewis Benchmark Policy Guidelines
Ropes & Gray discusses ESG-related updates to the Glass Lewis 2024 U.S. Benchmark Policy Guidelines. …
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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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Event of Interest: EY to Host Webinar on Alternative Credit Valuations
EY plans to host a webinar titled “Credit Funds: Valuation," which will explore how alternative credit …
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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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Sherman & Sterling Releases Study “Evolving Notions of Board Effectiveness”
The study notes, “achieving a high level of board effectiveness relies on the successful implementation …
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McKinsey Releases AI Financial Services Report
A recent report from McKinsey & Company, highlights the benefits and risks of the banking sector integrating …
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PCAOB Fines Three China-Based Accounting Firms, Four Individuals
The Public Company Accounting Oversight Board (PCAOB) announced enforcement settlements with three mainland …
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Academic Study Discusses Continuity and Change on Corporate Boards
The authors, Peter Cziraki and Adriana Robertson, focus their research on corporate boards, but there …