Jeff Robins – Debevoise Data Blog

Artificial Intelligence

AI Enforcement Starts with Washing: The SEC Charges its First AI Fraud Cases

By: Andrew J. Ceresney, Charu Chandrasekhar, Avi Gesser, Arian June, Robert B. Kaplan, Julie M. Riewe, Jeff Robins, Kristin Snyder, Jonathan R. Tuttle, James Amler, Phil Fortino, Matt Kelly, Anna Moody, Stephan J. Schlegelmilch, Gabriel Kohan and Corey Goldstein March 19, 2024

On March 18, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced settled charges against two investment advisers, Delphia (USA) Inc. (“Delphia”) and Global Predictions Inc. (“Global Predictions”) for making…

Fintech

Using Technology to Benefit Markets and Investors

By: Melissa MacGregor (SIFMA), Marc Ponchione, Jeff Robins, Kristin Snyder, Matt Kelly, Sheena Paul, Jarrett Lewis and Melissa Muse October 23, 2023

SIFMA and SIFMA AMG Comment on the SEC’s Proposed Rules for BDs and RIAs Among its many uses in the financial world, technology can improve operational efficiencies, reduce risk and…

Artificial Intelligence

SEC Proposes Rule to Eliminate or Neutralize Conflicts of Interest in the Use of “Predictive Data Analytics” Technologies

By: Andrew J. Ceresney, Charu Chandrasekhar, Avi Gesser, Robert B. Kaplan, Marc Ponchione, Julie M. Riewe, Jeff Robins, Kristin Snyder, Matt Kelly, Gary Murphy, Sheena Paul, Jarrett Lewis, Catherine Morrison and Mengyi Xu August 14, 2023

On July 26, 2023, the U.S. Securities and Exchange Commission (“SEC”) issued proposed rules (the “Proposed Rules”) that would require broker-dealers and investment advisers (collectively, “firms”) to evaluate their use…

SEC

Webcast: Getting Ready for the New SEC Cyber Rules for RIAs and BDs

By: Avi Gesser, Erez Liebermann, Julie M. Riewe, Jeff Robins, Kristin Snyder and Charu Chandrasekhar March 22, 2023

On Tuesday, March 21, 2023, Julie Riewe, Kristin Snyder and Charu Chandrasekhar from our White Collar & Regulatory Defense Group, Jeff Robins from our Banking Group, and Avi Gesser and…

Cybersecurity

A Late Winter Blizzard of SEC Cybersecurity Rulemaking: the Proposed BD Cybersecurity Rules and Expanded Reg S-P and Reg SCI Obligations

By: Luke Dembosky, Avi Gesser, Erez Liebermann, Marc Ponchione, Julie M. Riewe, Jeff Robins, Kristin Snyder, Charu Chandrasekhar, Sheena Paul, Suchita Mandavilli Brundage, Michael R. Roberts, Mengyi Xu and Ned Terrace March 20, 2023

On March 15, 2023, the U.S. Securities and Exchange Commission (the “SEC”) released a suite of proposed new rules (the “Proposed Rules”) that include: Proposed new cybersecurity rules for broker-dealers,…

Enforcement

SEC Enforcement Highlights the Risks of Not Preserving Text/Chat Messages—Practical Tips for Aligning Policies with Practices to Reduce Risk

By: Avi Gesser, Julie M. Riewe, Jeff Robins and Chana Zuckier December 13, 2020

At many companies, employees are increasingly using non-business communication applications (“apps”) such as iMessage, WhatsApp and WeChat for business-related communications. This trend has likely accelerated in the COVID era, as…

AI Enforcement Starts with Washing: The SEC Charges its First AI Fraud Cases

Top 10 FinReg and FinTech Blog Posts of 2023

Top 10 SEC Cyber Posts of 2023

Using Technology to Benefit Markets and Investors

SEC Proposes Rule to Eliminate or Neutralize Conflicts of Interest in the Use of “Predictive Data Analytics” Technologies

Webcast: Getting Ready for the New SEC Cyber Rules for RIAs and BDs

A Late Winter Blizzard of SEC Cybersecurity Rulemaking: the Proposed BD Cybersecurity Rules and Expanded Reg S-P and Reg SCI Obligations

SEC Enforcement Highlights the Risks of Not Preserving Text/Chat Messages—Practical Tips for Aligning Policies with Practices to Reduce Risk