Each month we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•The Fifth Circuit’s stay of the SEC’s recent adoption of...more
4/24/2024
/ Artificial Intelligence ,
Climate Change ,
Coinbase ,
Cryptoassets ,
Disclosure Requirements ,
Enforcement ,
Fiduciary Duty ,
Fraud ,
Greenhouse Gas Emissions ,
Investment Advisers Act of 1940 ,
Misleading Statements ,
Securities and Exchange Commission (SEC) ,
Stays ,
Unregistered Brokers
On March 18, 2024, the SEC announced—in videos posted on YouTube and Twitter—regulatory actions against two investment advisers for “AI washing,” a practice defined by the SEC as “making false artificial intelligence-related...more
3/21/2024
/ Anti-Fraud Provisions ,
Artificial Intelligence ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
NASAA ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
SIFMA