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Global General Counsel Committee

Meeting Materials

November 7, 2023

  1. Agenda
  2. AI Legislation to Watch in 2023-24, Clifford Chance
  3. AI Governance: Balancing Policy, Compliance and Commercial Value, DLA Piper
  4. AI in Financial Services 3.0: Managing Machines in an Evolving Legal Landscape, Linklaters
  5. The Current State of Environmental, Social, and Governance Matters in American Corporations, Mintz
  6. DEI Legal Risks: Landscape and Trends, Mintz
  7. Nasdaq’s “Show and Tell” Diversity Disclosure Survives Initial Challenge, Mintz
  8. Leading DEI with Practicality and Purpose,
  9. Letter to Winston & Strawn, LLC re: DET, Senator Tom Cotton
  10. Embracing Operational Resilience, KPMG Global
  11. Issues Arising for Financial Institutions and Regulated Entities, Dechert LLP
  12. Global Survey of ESG Regulations for Asset Managers: ESG and the Sustainable Economy Handbook, K&L Gates
  13. Chief Compliance Officer Roundtable: New Regulation Planning & Management, Deloitte
  14. Regulatory Change Management: Example IRM Process via Automation
  15. DOL Proposes a Retirement Security Rule That Would Update the Definition of an Investment Advice Fiduciary Under ERISA, IAA Member Alert
  16. 2024 Examination Priorities, SEC
  17. Private Funds Rule: Implementation Considerations and Key Takeaways, Kirkland & Ellis
  18. 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
  19. 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
  20. GAO Decision: Matter of Securities and Exchange Commission—Applicability of the Congressional Review Act to Staff Accounting Bulletin No. 121
  21. In the Matter of Certain AIs that Utilize AI, SEC Enforcement Sweep 2023
  22. Executive Order 14015 of August 9, 2023: Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern
  23. 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
  24. Select SEC Rulemakings Affecting Investment Advisers – Effective and Compliance Dates, IAA

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