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18 Apr 2024, 7:43 am
For even more, I’m at Truth on the Market (here), and my ICLE colleague Gus Hurwitz has a very good piece in the Regulatory Review (here). [read post]
18 Apr 2024, 7:37 am
The announcement follows prior enforcement actions for similar violations, which we have previously addressed: SEC Fines 9 RIAs for Marketing Rule Violations, SEC Fines Adviser Under New Marketing Rule, and SEC Announces Examinations Under New Marketing Rule. [read post]
18 Apr 2024, 7:06 am
Peak Rock, based in Austin, Texas, is middle market private equity firm that makes equity and debt investments. [read post]
18 Apr 2024, 6:43 am
This decision reinforces New York’s commitment to ensuring a fair and unbiased job market, signaling a significant step forward in the fight against workplace discrimination. [read post]
18 Apr 2024, 6:36 am
Sometimes, they are referenced or marketed as “crash avoidance systems. [read post]
18 Apr 2024, 6:30 am
” Finding violations of the Investment Advisers Act rules governing marketing and compliance policies and procedures (Sections 206(2) and 206(4) and Rules 206(4)-1 and 206(4)-7 thereunder), the settled orders imposed civil penalties against Delphia and Global Predictions of $225,000 and $175,000, respectively. [read post]
18 Apr 2024, 6:30 am
” Finding violations of the Investment Advisers Act rules governing marketing and compliance policies and procedures (Sections 206(2) and 206(4) and Rules 206(4)-1 and 206(4)-7 thereunder), the settled orders imposed civil penalties against Delphia and Global Predictions of $225,000 and $175,000, respectively. [read post]
18 Apr 2024, 6:29 am
The GP case The GP case arose when GP received, on three occasions, marketing letters from Juris (a provider of legal research services) despite having previously revoked his consent for, and exercised his right to object to, the use of his data for marketing purposes. [read post]
18 Apr 2024, 6:26 am
Any statements contained herein are not intended or written by the writer to be used, and nothing contained herein can be used by you or any other person, for the purpose of (1) avoiding penalties that may be imposed under federal tax law, or (2) promoting, marketing or recommending to another party any tax-related transaction or matter addressed herein. [read post]
18 Apr 2024, 6:09 am
In remarks at the corporate compliance and enforcement spring conference, he urged proactive compliance on the part of stakeholders in the form of education, engagement, and execution.Grewal is concerned that AI could be subject to the same “perfect storm of risk”—strong investor interest, noncompliance, weak controls, and under-empowered gatekeepers—that led to crypto market failures like FTX and Terraform. [read post]
18 Apr 2024, 4:29 am
Understanding this pressing need, technical leaders and software developers constantly seek strategies to ensure their systems remain agile, modern, and responsive to shifting market demands. [read post]
18 Apr 2024, 4:05 am
He specifically discussed the conflicts of interests raised by AI for advisers, the problems presented by AI hallucinations, and the threat that AI could pose to the stability of our markets. [read post]
18 Apr 2024, 3:57 am
The Board found the amount spent on advertising and marketing (designated "confidential") was "particularly impressive. [read post]
18 Apr 2024, 3:40 am
This perspective shifts the narrative from a mere reaction to economic headwinds to a broader realignment within the job market. [read post]
18 Apr 2024, 3:10 am
The principles set out above articulated by the court are significant and useful to the reinsurance market. [read post]
18 Apr 2024, 3:00 am
The Ellis Act does not require owners to remove the properties from the rental market forever, he said. [read post]
18 Apr 2024, 2:00 am
The Roosevelt Institute hosts Tax Policy as Competition Policy: Reimagining How the US Tax Code Can Foster a More Equitable and Participatory Economy today at 12:00 PM EST (RSVP): Excessive market power by dominant corporations is widely decried across the political divide. [read post]
17 Apr 2024, 10:00 pm
Partner Rebecca Ford and associate Christopher Brinley authored an article for Law Middle East about Abu Dhabi Global Market’s (ADGM’s) consultation on proposals for a whistleblowing framework. [read post]
17 Apr 2024, 10:00 pm
Partner Rebecca Ford and associate Christopher Brinley authored an article for Law Middle East about Abu Dhabi Global Market’s (ADGM’s) consultation on proposals for a whistleblowing framework. [read post]
17 Apr 2024, 10:00 pm
Partner Rebecca Ford and associate Christopher Brinley authored an article for Law Middle East about Abu Dhabi Global Market’s (ADGM’s) consultation on proposals for a whistleblowing framework. [read post]
