Enforcement

The Biden administration wants to rework American society, and sees fund managers as a problem to be solved.

Private funds' thinking has evolved from "risk management" to "value creation," PwC's Eric Janson says on RCW webinar

Cases 'should serve notice to the investment industry,' Enforcement Division Director Grewal says in video.

Violators included “supervisors and senior-level employees”—including some attached to compliance—who used platforms, such as WhatsApp and text messaging, contrary to firm P&Ps

The CFTC enters the regulatory fray over firms' use of off-channel communications for work

"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...

"If an investment adviser is claiming to employ AI and offering you investment advice, or a company is making claims about incorporating AI technology in ...

'You cannot get deals if you’re not texting and your competitors are,' FirmScribe CEO says from PFCFO New York Forum.

'We are here to protect investors, and if they care, then we care,' Grewal says in Ohio State Law Journal speech

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 ...