Smart Contracts and the Future of Financial Instruments
The ability to integrate smart contracts into the technology stack of financial markets will lead to disruptive changes in how securities are built, held, and traded.
October 02, 2024
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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
SEC Proposes Rules on Advisers’ Use of Technology
On Wednesday, the SEC proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
July 27, 2023
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
The IAA has submitted a comment letter to the SEC in response to the agency’s August 27 Request for Information on the use of digital engagement practices and technology to provide investment advice by investment advisers.
October 12, 2021
SEC Requests Comment on Adviser Digital Engagement Practices
The SEC is requesting information and public comment on the use of digital engagement practices by broker-dealers and investment advisers.
September 03, 2021
In a lengthy open meeting on July 7, the SEC’s Asset Management Advisory Committee adopted subcommittee recommendations on diversity and inclusion (DEI) and ESG, considered an interim report from the Subcommittee on Private Investments, and heard presentations on technology-enabled personalization in the provision of investment advice.
July 12, 2021
Defense Spending Bill Establishes Artificial Intelligence Initiative
Congress has passed the National Artificial Intelligence Initiative Act (NAIIA) as part of the National Defense Authorization Act (NDAA) for fiscal year 2021.
January 25, 2021