On April 17, 2024, the Securities and Exchange Commission's (SEC) Division of Examination (Division) issued a Risk Alert to provide information about investment advisers.
SEC Issues Risk Alert Regarding Compliance with Rule 206(4)-1, the Marketing Rule | Kramer Levin Naftalis & Frankel LLP jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
SEC Issues Risk Alert Regarding Compliance with Rule 206(4)-1, the Marketing Rule lexology.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from lexology.com Daily Mail and Mail on Sunday newspapers.
DTCC Comments on Industry's Affirmation Progress, With T+1 Implementation One Month Away tradersmagazine.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from tradersmagazine.com Daily Mail and Mail on Sunday newspapers.
Last year, the U.S. Securities and Exchange Commission (SEC) proposed ambitious rules relating to artificial intelligence (AI) that have drawn significant commentary and criticism..