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Financial Services Industry Policies and Procedures Securities Regulation

Mayer Brown

FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence (AI) and Large Language Models

Mayer Brown on

On June 27, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 24- 09 (the “Notice”) reminding member firms that FINRA’s rules and the securities laws apply to the use of artificial...more

Manatt, Phelps & Phillips, LLP

SEC Adopts New Private Fund Adviser Rules

On August 23, 2023, a divided U.S. Securities and Exchange Commission (SEC) issued new rules (the Rules) relating to the regulation of private fund advisers. The Rules aim to help protect investors in private funds (including...more

Stikeman Elliott LLP

OSC Publishes Considerations for Public Accounting Firms in Developing Internal Ethics Policies and Procedures

Stikeman Elliott LLP on

The Ontario Securities Commission (“OSC”) recently published OSC Staff Notice 52-724 Considerations for Public Accounting Firms in Developing Internal Ethics Policies and Procedures (the “Notice”). The Notice summarizes...more

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