Artificial intelligence has entered the compliance landscape with unusual speed. AI-driven tools now appear across […]
Former SEC Chairperson, Mary Schapiro Shares Insights

Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former chairperson of SEC, Mary Schapiro.
As Chairman of the U.S. Securities and Exchange Commission, Mary L. Schapiro helped strengthen and revitalize the agency; oversaw a more rigorous enforcement program; and, shaped new rules by which Wall Street must play.
Chairman Schapiro’s priorities at the SEC included reinvigorating a financial regulatory system that must protect investors and vigorously enforce the rules; and working to deepen the SEC’s commitment to transparency, accountability, and disclosure while always keeping the needs and concerns of investors front and center. During her tenure, the agency’s dedicated work force brought a record number of Enforcement actions, swiftly reacted to the May 6, 2010 Flash Crash, and achieved significant regulatory reform to protect investors.
Artificial intelligence has entered the compliance landscape with unusual speed. AI-driven tools now appear across […]
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Artificial intelligence has entered the compliance landscape with unusual speed. AI-driven tools now appear across […]
Cybersecurity is often framed as a technological challenge. In practice, for investment advisers, broker-dealers, and […]
Strengthening Compliance Through Independent, Risk-Based Testing Regulatory expectations for investment advisers and broker-dealers continue to […]