Robert Leonard

Feb 9, 2024 | jdsupra.com | David Bartels |Robert Leonard |Dale Beggs

Key Takeaways The SEC dropped the most controversial provisions, but still significantly expanded the reach of the “dealer” definition. Persons that engage in trading activity that resembles market-making may now have to register as “dealers” and be subject to the corresponding regulatory requirements, regardless of whether they have customers. Registered investment advisers, hedge funds and other private funds are not excluded and may also be “dealers” under the rule.

Jun 29, 2023 | lexology.com | Robert Leonard |Joshua M. Newville

This Webinar aims to provide some practical advice regarding Generative AI (“Gen AI”) and the issues its presents for private fund managers related to securities law and compliance. To the presenters, this is an dynamic time and will perhaps be thought of years from now as the inflexion point where generative AI launched into the securities and compliance world.