Investment adviser and private funds examination priorities and resources for new registrants on agenda
A new SEC risk alert warns fund managers to pay closer attention to their annual compliance reviews, AI’s risks multiply, a San Diego adviser gets ...
Annual reviews are ‘critical’ to rule 206(4)-7 compliance, agency examiners say. Yet many advisers let them slip through the cracks.
"There's a lot of risk that has to be mitigated" when you use AI, says COO/CCO
Trio believes a great place to start with reforms is with diversified funds' compliance with-and possible changes to-their fundamental policies
The SEC moves to scrap its ‘pay-to-play’ rule, your peers are jumping on the AI train, examiners zero in on an investment adviser’s clients, FINRA ...
Many compliance peers are using artificial intelligence for a variety of functions
Be sure to put in place "checks and balances" around your firm's use of AI
SEC exam document request letter featured 20 questions about firm clientele
Whistleblower advocates call for rules update, examiners nudge broker-dealers and transfer agents on database searches and recordkeeping, the SEC and CFTC kick the Form PF ...