My last note touched on a recent SEC rule proposal regarding Predictive Data Analytics, and a speech by Chair Gary Gensler highlighting a...

The U.S. Securities & Exchange Commission (“SEC”) is highly focused on regulating the use of artificial intelligence (“AI”) by financial...

Could the new SEC "Names Rule" really kill ESG funds as this article suggests? It seems very doubtful, but whether you agree with the...

The U.S. Securities & Exchange Commission (“SEC”) recently found that an investment adviser mischaracterized its integration of...