Machine Learning for Environments with Bad Actors
Jenny Radcliffe on People Hacking
AFSA Extra Credit Podcast: Navigating Advertising During COVID-19
Compliance Perspectives: The Right Kind of Wrong
JOBS Act Implementation Regulations
In this issue, we summarize regulatory, litigation and industry developments from May to September 2019 impacting the investment management sector, including SEC action on standards of conduct for broker-dealers and...more
Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals. ...more