ExceptionLanguage":"","SummaryText":"In this episode of Mutual Fund Minute, Sidley partners Jay Baris and Benson Cohen discuss the SEC’s proposed rules to address conflicts of interest when broker-dealers and investment advisers use predictive data analytics.
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While mutual fund directors looking ahead to the incoming Trump Administration are unlikely to experience major changes in their core duties and activities, they can expect to see a number of incremental changes that could significantly affect the regulatory landscape for funds and investment advisers, and thus fund directors indirectly. These changes likely will relate to the substance, scope, and pace of new regulations, how the Securities and Exchange Commission approaches enforcement actions, and how the SEC addresses new and innovative products and asset classes (e.g., crypto or retail access to private assets). By reading the tea leaves – including speeches and statements of the Republican commissioners over the past couple of years – we can make some educated guesses as to how the SEC is likely to approach challenges facing the advisers and independent directors they oversee.

Click here to read the full article which ran in Fund Board Views on November 13, 2024.

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Conflicts of Interest Involving Covered Technology