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SEC Proposes New Regulatory Framework for Use of AI by Broker-Dealers and Investment Advisers | Dechert LLP

The SEC has proposed new rules designed to regulate potential conflicts of interest associated with broker-dealers’ and investment advisers’ use of certain AI-related technologies in.

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MIL-OSI USA: Market Structure and the Retail Investor: Remarks Before the Piper Sandler Global Exchange Conference

MIL-OSI USA: Market Structure and the Retail Investor: Remarks Before the Piper Sandler Global Exchange Conference
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US Securities And Exchange Commission Division Of Examinations 2022 Exam Priorities - Corporate/Commercial Law

On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission ("SEC") announced its examination priorities for 2022.

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US Securities and Exchange Commission Division of Examinations 2022 Exam Priorities | Mayer Brown Free Writings + Perspectives

On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and “SEC,” respectively) announced its examination priorities for 2022. This.

Exchange commission the divisionFinancial industry regulatory authority incProposals would significantly impact private fund advisersDivision of examinationsRisk monitoring programInvestment companyInvestment adviser use of technology toInvestment company examination programExchange examination programExamination initiativeFund advisersProposal significantly impacts private fund advisersExaminations division issues risk alertDivision of examinations risk alertMayer brown free writingsExchange commission

New and Familiar Compliance Challenges for FINRA Members in 2021

Payment for order flow and best execution; market access; finfluencers and gamification; and anti-money laundering were some of the most critical emerging and familiar compliance challenges faced by member firms addressed by the Financial Industry Regulatory Authority in 2022

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