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Artificial Intelligence › Securities Regulation › Investment Advisers Act of 1940

Lowenstein Sandler LLP

Key Considerations for Alternative Data and AI Vendors to Investment Firms: Demonstrating Compliance in the Face of an Evolving...

Lowenstein Sandler LLP on

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

DarrowEverett LLP

Danger, Does Not Compute: SEC Takes Aim at Predictive Data Analytics Per Proposed Rules

DarrowEverett LLP on

On July 26, 2023, the Securities and Exchange Commission (“SEC”), in a 3-2 vote, issued a release (the “Release”) containing proposed rules to address conflicts of interest associated with broker dealers’ and investment...more

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