Chuck Martin Reacts Archives

SEC Exam Sweeps for AI Use | Chuck Martin Reacts on WSJ

Vigilant Insights Introduction The use of Artificial Intelligence (“AI”) by RIAs is one of many focuses for the SEC’s Division of Examinations. With the SEC’s Proposed Rule related to AI use […]

First SEC Enforcement Related to Marketing Rule | Chuck Martin Reacts

Vigilant Insights Brief Introduction On Monday, August 21st, the SEC released its first enforcement action related to the new Marketing Rule. A New York based FinTech Investment […]