Foley Equipped

Private Company Compliance: Investigations, Regulations, and Litigation

Emerging Technology

We recently co-hosted an NACD “Private Company Compliance” webinar on the issues that directors of private companies should care about. In this episode, we focused on the increasing importance of supervising the implementation of a compliance function in the private company context. Foley & Lardner’s Silicon Valley–based corporate partner Louis Lehot moderated the digital discussion in conversation […]

Artificial Intelligence, the SEC, and What the Future May Hold

Authors: Jim Lundy, Bill McCaughey, Peter Fetzer, Chanley Howell, Shabbi Khan With the growing use of artificial intelligence (AI) in financial markets, broker-dealers and investment advisers need to pay attention to the risks posed by AI on firms’ compliance with federal securities laws. While machine learning is increasingly integrated into today’s financial ecosystem including call […]

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