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Fiduciary Duty Consent Recordkeeping Requirements

Stark & Stark

Artificial Intelligence for RIAs: Compliance Considerations and Practical Policies

Stark & Stark on

The use of artificial intelligence (“AI”) notetakers, while beneficial for productivity, raises significant concerns around privacy, security, and compliance. These risks are at the center of Brewer v. Otter.ai, a lawsuit...more

Lowenstein Sandler LLP

The SEC’s Private Fund Adviser Rules Explained — Part 1: The Restricted Activities Rule

Lowenstein Sandler LLP on

On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act), to address what it perceives as certain conflicts...more

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