5 Questions Every Asset Manager Should Ask a Tech Vendor – Before You Commit
Vendor relationships are critical to operating any investment management business. The right partner can drive significant value for your firm and pay dividends long term. But how do you find the right one in a sea of offerings?
November 01, 2023
Senators Discuss Likelihood of Bipartisan Passage of Crypto Legislation
At a Bipartisan Policy Center event on the future of cryptocurrency and blockchain technology, Senators John Hickenlooper (D-Colo.) and Thom Tillis (R-N.C.) expressed a willingness to move forward with bipartisan legislation on cryptocurrency.
March 17, 2023
SEC Publishes 2023 Examination Priorities
The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.
February 09, 2023
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
SEC’s Gensler Addresses FinTech Priorities
Observing that “ew financial technologies continue to change the face of finance for investors and businesses” globally, SEC Chair Gary Gensler used a recent opportunity to appear before the European Parliament’s Committee on Economic and Monetary Affairs to address several areas where finance and technology intersect.
September 03, 2021
High Tech in High Finance | SEC’s FinHub, Compliance Automation
As in other industries, technological change is driving innovation in asset management.
April 19, 2021
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets
The SEC’s Division of Examinations has issued a new Risk Alert to assist firms in developing and enhancing their compliance practices related to digital securities and other distributed ledger assets.
March 01, 2021
The SEC’s Asset Management Advisory Committee held a special meeting on July 16 that included two panel discussions, the first on diversity and inclusion in the asset management industry and the second on data privacy and technology’s impact on investment advice.
July 23, 2020
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