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Investment Advisers Act of 1940 › Regulatory Oversight › Disclosure Requirements

Eversheds Sutherland (US) LLP

Asset managers should be aware of the recent GAO report on Artificial Intelligence – Use and Oversight in Financial Services

Eversheds Sutherland (US) LLP on

The report outlines the advantages and potential risks associated with AI, while also offering insight into current regulatory perspectives on its use. The GAO’s findings have been shared with the SEC and could influence...more

Williams Mullen

SEC Private Fund Rule Struck Down by US Appeals Court

Williams Mullen on

A U.S. appeals court struck down a newly adopted Securities and Exchange Commission (“SEC”) rule implementing a series of new disclosure requirements and restrictions on private fund advisors....more

Herbert Smith Freehills Kramer

OCIE Notifies Investment Advisers of Principal and Agency Cross Trading Compliance Deficiencies

Herbert Smith Freehills Kramer on

Failures by a number of investment advisers to comply with certain rules governing principal and agency cross trades has prompted the compliance inspections staff of the Securities and Exchange Commission (SEC) to issue a...more

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