Video | OCIE Supervision Initiative Finds Holes in RIA Supervision & Disclosure Policies
Podcast: Private Fund Regulatory Update – Network and Cloud Storage
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
The SEC has charged a financial firm and its leaders for making false claims about using artificial intelligence (AI) in their automated trading process. This case highlights the critical need for transparency in an...more
The U.S. Securities and Exchange Commission (SEC) is responsible for protecting investors and ensuring the integrity of the securities markets. As part of this mission, the SEC requires broker-dealers to comply with...more