AI tools are spreading across investment firms faster than compliance teams can track them. In this on-demand webinar, Mike Regan of Silver and Adam Pfefer of Clarier share what AI discovery reveals at firms today and the practical steps to help esstablish AI governance protocols without slowing the business down.
Compliance practitioners expect more AI Agent cybersecurity incidents to occur. For investment advisers, broker-dealers and fund sponsors, it is a preview of the threats and regulatory questions coming to every firm.
This piece is a regulatory-grounded look at how AI governance fits within the compliance frameworks firms already operate under, the cybersecurity considerations that come with it and the practical building blocks of a defensible program.
Just as consumer brands have faced scrutiny over misleading environmental claims, asset managers now confront comparable pressure. As the demand for progress on sustainability practices intensifies, so does the incentive for asset managers to project credibility and ultimately heightening the potential for overstatement.
Would your compliance program survive contact with a regulator, or does it just read well? That question shaped Q3, from the SEC’s crypto rulemaking to cross-border greenwashing enforcement and a $425 million Ponzi case. Fizza breaks down what each development signals for private fund managers.
The SEC has proposed the first offering regime built specifically for crypto. Regulation Crypto Assets would give token issuers two exemptions with fixed dollar thresholds, a path to certify that an investment contract has ended and preemption from state blue sky requirements. This issue breaks down what it means for funds and advisers.
