On 14 January 2025, the Securities and Exchange Commission (SEC) announced settled charges against three investment adviser representatives for acting as unregistered brokers in the sale of membership interests in certain...more
Introduction - On 5 December 2024, the Commodity Futures Trading Commission (CFTC) Divisions of Clearing and Risk, Data, Market Oversight, and Market Participants issued a staff advisory on the use of artificial intelligence...more
12/24/2024
/ Artificial Intelligence ,
Asset Management ,
CFTC ,
Compliance ,
Financial Markets ,
FinTech ,
Investment Adviser ,
Regulatory Oversight ,
Regulatory Requirements ,
Risk Assessment ,
Risk Management