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News
False info, real problems: The human in the AI loop
1+ week, 4+ day ago (1104+ words) In our first article, we explored how AI-generated false information, also known as hallucinations, have increasingly been making their way into firm work products. Here we explore how some firms control specifically for this risk. Accountants tend to view hallucination…...
Statement on Proposed Amendments to the SEC’s Transfer Agent Rules
1+ week, 5+ day ago (156+ words) It has been 40 years since the Commission last significantly updated its transfer agent rules.[1] In 2015, Commissioners Luis Aguilar and Dan Gallagher warned that the rules were already “anachronistic” and out of sync with industry practices.[2] They urged that critical reforms…...
Ship versus swarm
2+ week, 4+ day ago (737+ words) An advisory firm owner told me something a few weeks ago that has been stuck in my mind ever since: "Kyle, most firms are aircraft carriers. They're too slow. We're more of a pirate ship." He was joking, mostly. It…...
SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
3+ week, 5+ day ago (385+ words) The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their roles in an alleged multi-year scheme… Official websites use....
Filling the Regulatory Tank: Regulation Crypto Assets Proposing Release
3+ week, 5+ day ago (550+ words) Commissioner Hester M. Peirce Official websites use.gov Secure.gov websites use HTTPS More in this Section Filling the Regulatory Tank: Regulation Crypto Assets Proposing Release In 2020, I spoke about my encounter on a stormy New Jersey night and an empty…...