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Investment Management › Algorithmic Trading

Carlton Fields

Builder of Investment Models Deviates From Blueprints - Employee’s Rogue Remodeling Costs Builder Plenty

Carlton Fields on

The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered investment advisers Two Sigma Investments LP and Two Sigma Advisers LP illustrates significant risks for investment...more

Akin Gump Strauss Hauer & Feld LLP

CFTC Proposes Electronic Trading Principles in Lieu of Reg AT

Akin Gump Strauss Hauer & Feld LLP on

- The Commodity Futures Trading Commission (CFTC) formally withdrew its highly controversial “Regulation Automated Trading” (Reg AT). - In its place, the CFTC proposed principles-based rules applicable to designated...more

Carlton Fields

SEC Guidance Seeks Enhanced Disclosures by Robo-Advisers

Carlton Fields on

In February, the SEC staff issued a guidance update focusing on "robo-advisers," i.e., registered investment advisers (RIAs) who provide online, automated investment advice, through the use of an algorithmic program. As RIAs,...more

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