Global General Counsel Committee
Meeting Materials
November 7, 2023
- Agenda
- AI Legislation to Watch in 2023-24, Clifford Chance
- AI Governance: Balancing Policy, Compliance and Commercial Value, DLA Piper
- AI in Financial Services 3.0: Managing Machines in an Evolving Legal Landscape, Linklaters
- The Current State of Environmental, Social, and Governance Matters in American Corporations, Mintz
- DEI Legal Risks: Landscape and Trends, Mintz
- Nasdaq’s “Show and Tell” Diversity Disclosure Survives Initial Challenge, Mintz
- Leading DEI with Practicality and Purpose, Law.com
- Letter to Winston & Strawn, LLC re: DET, Senator Tom Cotton
- Embracing Operational Resilience, KPMG Global
- Issues Arising for Financial Institutions and Regulated Entities, Dechert LLP
- Global Survey of ESG Regulations for Asset Managers: ESG and the Sustainable Economy Handbook, K&L Gates
- Chief Compliance Officer Roundtable: New Regulation Planning & Management, Deloitte
- Regulatory Change Management: Example IRM Process via Automation
- DOL Proposes a Retirement Security Rule That Would Update the Definition of an Investment Advice Fiduciary Under ERISA, IAA Member Alert
- 2024 Examination Priorities, SEC
- Private Funds Rule: Implementation Considerations and Key Takeaways, Kirkland & Ellis
- Petitioner’s Brief: National Association of Private FundManagers; Alternative Investment Management Association, Limited; American Investment Council; Loan Syndications and Trading Association; Managed Funds Association; and National Venture Capital Association v. Securities and Exchange Commission
- Opinion: Chamber of Commerce of the United States of America; Longview Chamber of Commerce; Texas Association of Businesses v. United States Securities and Exchange Commission
- GAO Decision: Matter of Securities and Exchange Commission—Applicability of the Congressional Review Act to Staff Accounting Bulletin No. 121
- In the Matter of Certain AIs that Utilize AI, SEC Enforcement Sweep 2023
- Executive Order 14015 of August 9, 2023: Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern
- Fact Sheet: President Biden Issues Executive Order Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern; Treasury Department Issues Advance Notice of Proposed Rulemaking to Enhance Transparency and Clarity and Solicit Comments on Scope of New Program, U.S. Department of Treasury
- Select SEC Rulemakings Affecting Investment Advisers – Effective and Compliance Dates, IAA