K. Susan Grafton

Dec 18, 2023 | jdsupra.com | David Bartels |K. Susan Grafton |Anthony Kelly

The SEC’s Division of Examinations (EXAMS) published its report on 2024 Examination Priorities on October 16, 2023. The 2024 Examination Priorities continue to reflect an examination program that is vigorous and broad in its focus.

Dec 18, 2023 | lexology.com | David Bartels |K. Susan Grafton |Anthony E. Kelly |Mark D. Perlow |Robert J. Rhatigan |Michael McGrail | +1 more

ONPOINT / A legal update from Dechert's Financial Services GroupSEC Division of Examinations Releases 2024 PrioritiesAuthored by David P. Bartels, K. Susan Grafton, Anthony S. Kelly, Mark D. Perlow, Robert J. Rhatigan, Elise Kletz, and Michael McGrail December 2023 Dechert LLPSEC Division of Examinations Releases 2024 PrioritiesDecember 2023 / Authored by David P. Bartels, K. Susan Grafton, Anthony S. Kelly, Mark D. Perlow, Robert J.

Sep 7, 2023 | jdsupra.com | K. Susan Grafton |Jennifer O'Brien |Mark D. Perlow

Key Takeaways The SEC has proposed new rules designed to regulate potential conflicts of interest associated with broker-dealers’ and investment advisers’ use of certain AI-related technologies in their interactions with investors.