The Securities and Exchange Commission (SEC) has previously provided guidance through risk alerts, proposed rules, and enforcement actions that outline expectations for registered investment advisers and other financial firms...more
6/2/2025
/ Artificial Intelligence ,
Compliance ,
Data Privacy ,
Due Diligence ,
Insider Trading ,
Investment Advisers Act of 1940 ,
Investment Firms ,
MNPI ,
Registered Investment Advisors ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On February 15, the Securities and Exchange Commission (“SEC”) issued a rule release (“Release” or “Proposal”) that proposes new Rule 223-1 (“Safeguarding Rule”) under the Investment Advisers Act of 1940, as amended...more