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A&O Shearman

IOSCO publishes consultation report on AI in capital markets

A&O Shearman on

The International Organization of Securities Commissions (IOSCO) has published a consultation report on the use cases, risks and challenges of AI in capital markets. The report, which is based on feedback from IOSCO's members...more

Stikeman Elliott LLP

OSC Reviews Restricted Dealer Crypto Asset Trading Platforms

Stikeman Elliott LLP on

The Ontario Securities Commission (“OSC”) completed a focused compliance review of the know-your-client (“KYC”), account appropriateness assessment and Client Limit (as defined below) practices of crypto asset trading...more

Herbert Smith Freehills Kramer

SEC proposes simplification of derivatives rules for closed-end, other funds

The SEC voted to propose a rule designed to enhance the regulation of the use of derivatives by registered investment companies, including closed-end funds, as well as mutual funds, ETFs and business development companies....more

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