Carl Ayers
The Division is providing this information to help municipal advisors better understand the examination process and prepare for an examination
Morgan Stanley failed to adopt and implement P&Ps reasonably designed to prevent and detect unauthorized externally-initiated ACH payments
"As the FSOC annual report highlights, certain large multi-strategy and macro hedge funds are significantly leveraged, receiving the vast majority of their repo financing in ...
While federal regulators and legislators may be perplexed about how to handle AI, many states aren’t standing still on the question
For example, a CPO that used generative AI to update a disclosure document or prepare periodic account statements for a commodity pool would still be ...
Find out about states' efforts to regulate AI, SEC hits a new record, guidance for social media posts and much more
"We at the SEC have a duty to investors and issuers alike to regularly update our rules to drive greater efficiency and resiliency in the ...
The firm discovered malicious software had blocked access to its computer systems and data by encrypting data and programs within its network. The attack disrupted ...
This is a glossary of key cybersecurity terms
Fair Invest and Parekh made untrue and misleading statements concerning the WBAs