It’s very likely that your firm already uses AI and may not even know it
The new rule 'will allow investment advisers and funds to have access to climate information from companies that will be necessary to inform related ESG ...
Despite the SEC having a client's email to his rep asking why he hadn't long ago been placed in a cheaper share class, the Commission ...
Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it
Be aware of a type of affinity scam called “pig butchering,” which is “derived from the process of fattening hogs for slaughter.” It's being increasingly ...
The SEC adopts two new rules to further define the phrase “as a part of a regular business” as used in the statutory definitions of ...
These new SEC final rules would require a minimum dissemination period for the distribution of security holder communication materials in connection with de-SPAC transactions, along ...
This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...
All advisers, even exempt reporting advisers, will be subject to the preferential treatment rule
You may be tempted to note February as the month of FinCEN when it comes to new regulations potentially affecting your firm. The latest proposal ...