Registered investment advisers (“RIAs”) have swiftly embraced AI for investment strategy, market research, portfolio management, trading, risk management, and operations. In response to the exploding use of AI across the…
As we approach the end of the year, here are the Top 10 SEC cyber posts on the Debevoise Data Blog in 2023 by page views. If you are not…
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…
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…
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,…