News & Analysis as of

New Rules Fraud Investment Adviser

Rumberger | Kirk

FINRA Reminds Financial Firms How AI Use Poses Significant Risks

Rumberger | Kirk on

These days, artificial intelligence is everywhere we look, and the financial services industry is no different. As AI use increases, regulatory bodies are updating their rules and guidelines detailing how companies should and...more

Proskauer - The Capital Commitment

Mid-Year Enforcement Update: SEC’s Continued Focus on Private Funds in 2024

As we reach the midpoint of 2024, the SEC has maintained its rigorous enforcement stance on the private funds industry, proposing new rules and oversight tools to better identify and investigate market practices. As 2024...more

Seward & Kissel LLP

SEC Adopts Rules to Prevent Fraud and Undue Influence over CCOs in connection with Security-Based Swap Transactions

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Investment Advisers and Broker-Dealers engaging in swap transactions - Quick Take: The SEC adopted rules under the Exchange Act to implement the Exchange Act’s...more

Vedder Price

Investment Services Regulatory Update - February 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

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