Advancements in artificial intelligence (AI) continue to reshape the financial services industry, with the growing popularity of generative Al (GenAl) tools prompting increased attention from US regulators. At the end of...more
2/7/2025
/ Algorithms ,
Artificial Intelligence ,
CFTC ,
Commodity Exchange Act (CEA) ,
Compliance ,
Data Security ,
Financial Services Industry ,
FinTech ,
Machine Learning ,
NIST ,
Regulatory Requirements ,
Risk Management
The Corporate Transparency Act (CTA), enacted by Congress in an effort to combat money laundering and other illicit activities, requires a reporting company to report electronically through a secure filing system its...more
Clients with Limited Liability Companies, Corporations, and Other Entities Likely Impacted -
Reporting requirements under the Corporate Transparency Act (CTA) are in effect beginning January 1, 2024. Under the CTA,...more
The US Securities and Exchange Commission (“SEC”) recently finalized sweeping new rules for private fund advisers (the “PFA Rules”) under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). The PFA Rules...more
10/9/2023
/ Audits ,
Clawbacks ,
Compliance ,
Custody Rule ,
Exempt Reporting Advisers (ERAs) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Policies and Procedures ,
Private Funds ,
Quarterly Report ,
Securities and Exchange Commission (SEC) ,
Transparency ,
Unregistered Brokers