Oct 09, 2023 The US Securities & Exchange Commission Targets AI on Multiple Fronts: AI Sweep Examination By David Adams My last note touched on a recent SEC rule proposal regarding Predictive Data Analytics, and a speech by Chair Gary Gensler highlighting a...
Sep 29, 2023 The US Securities & Exchange Commission Targets AI on Multiple Fronts (Part 1 of 3) By David Adams The U.S. Securities & Exchange Commission (“SEC”) is highly focused on regulating the use of artificial intelligence (“AI”) by financial...
Sep 27, 2023 Could the new SEC "Names Rule" kill ESG funds? By David Adams Could the new SEC "Names Rule" really kill ESG funds as this article suggests? It seems very doubtful, but whether you agree with the...
Sep 26, 2023 What we can learn from one of the most detailed ESG SEC Actions to Date By David Adams The U.S. Securities & Exchange Commission (“SEC”) recently found that an investment adviser mischaracterized its integration of...