Navigating the New SEC Marketing Rule for Fintech Compani...

What this episode covers

The world of investment advising is rapidly evolving, and AI is at the forefront of this transformation. With these advancements, however, come new regulations designed to ensure transparency and fairness. The SEC Marketing Rule, revamped in 2020, has significant implications for fintech companies, especially those leveraging AI. Read the full article. About the authors: Louis Froelich Joshua Wabnik

Share this episode

Similar Episodes

Bringing it all together.

Mar 31, 2026 ·54m

Why is the vendor role so contentious in the cyber ecosystem?

Mar 27, 2026 ·14m

But what do you really want?

Mar 24, 2026 ·42m

Strategic approaches to talent: A practical guide.

Mar 20, 2026 ·42m

Mid season reflection with Kim Jones.

Mar 17, 2026 ·41m

Is the role of the CISO adding to the confusion?

Mar 13, 2026 ·44m

Similar Podcasts

CISO Perspectives (public) N2K Networks This season on CISO Perspectives, host Kim Jones explores some of the challenges of leading through uncertainty. We explore the complexity of the changing nature of regulation and working with the federal government, the evolution of privacy and fraud, and how emerging technologies like AI and quantum computing are changing cyber. When you don’t know what questions to ask, you’re afraid to ask, or don’t know who to ask, CISO Perspectives provides the foundation for learning in this brave new world. Leading From All Sides Abbie Mirata Discover the various styles of leadership, from leading at the forefront to steering from behind, rising to the top or empowering from the bottom. We'll explore horizontal and vertical leadership, leading through your brand, and even leading in your most intimate relationships. Join me in engaging conversations with special guests who are leaders in their careers, communities, and families. Gain insights, perspectives, and invaluable lessons that challenge traditional notions of what it means to lead. Westenberg Joan Westenberg The Westenberg Podcast offers ideas, explainers, book notes, and reflections on technology, philosophy, and the human experience. Hosted by Joan Westenberg, each episode unpacks complex topics with clarity and depth, blending personal insights with thought-provoking analysis. It’s a space for exploring big questions and fresh perspectives in an accessible format. Once Upon A Time Manu Listen to this podcast and understand different perspectives of a certain story or book by unusual characters in a fairytale. This podcast will help you by improving your imagination with wonderfull thoughts and ideas. Manusri is exited to entertain all of the "make-believe" fans.

Frequently Asked Questions

How long is this episode of Womble Perspectives?

This episode is 4 minutes long.

When was this Womble Perspectives episode published?

This episode was published on July 13, 2024.

What is this episode about?

The world of investment advising is rapidly evolving, and AI is at the forefront of this transformation. With these advancements, however, come new regulations designed to ensure transparency and fairness. The SEC Marketing Rule, revamped in 2020,...

Is there a transcript available for this episode?

Yes, a full transcript is available for this episode. You can read the complete transcript on the episode page.

Can I download this Womble Perspectives episode?

Yes, you can download this episode by clicking the download button on the episode player, or subscribe to the podcast in your preferred podcast app for automatic downloads.