As calls increase that Washington should take a greater regulatory approach when it comes to use of artificial intelligence in financial services, a new report ...
A new SEC enforcement case contains lessons on what not to do if your firm suffers a ransomware attack
Report shows all-time record highs in IAs registered with the SEC, assets under management, and non-clerical employees
Including performance results in advertisements is the most common marketing practice among SEC-registered investment advisers
You have until Aug. 12th to reply to a request for industry comments from the Treasury Department about your use and concerns about AI in ...
Regulators may not be able to keep up with the speed of artificial intelligence’s development
Avoid this mistake: Advertising performance 'without an accompanying qualification or disclaimer on that page suggesting such results were anything other than performance results of the ...
The rapid transformation of markets and business models due to technology is a pressing concern in chairman's view
SEC cited misleading disclosures tied to work with activist short publishers who issued articles presenting bearish views of target securities
The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...