The actions are part of increased regulatory scrutiny on how companies, investment advisers, and other market participants are using AI and their related disclosures. On.
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month,.
By Nov. 4, 2022 (the "Compliance Date"), registered investment advisers ("RIAs") must comply with the requirements of amended Rule 206(4)-1 (the "Amended Marketing Rule").