2021 Compliance Ethics 
Brown Advisory
APRIL 22, 2021
Corporate Engagement Spotlight: Ethical AI Practices ajackson Thu, 04/22/2021 - 11:37 Right now, as you read this, there are computers and network servers all over the world pondering one topic: you. Beyond regulatory compliance, failure to protect data can result in meaningful financial expense.
Brown Advisory
APRIL 22, 2021
Corporate Engagement Spotlight: Ethical AI Practices. Thu, 04/22/2021 - 11:37. Ethical AI is a term used throughout this discussion, loosely defined as development and delivery of AI products and services that empower employees, produce fair and just outcomes for stakeholders and generate other positive outcomes for society.
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Sara Grillo
JUNE 2, 2022
What about ethics? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” There are plenty of financial advisors with a long tenure in the business and spotless compliance records. Ethical actions that financial advisors take. What about fiduciary standard?
Park Place Financial
JULY 6, 2022
HB 3898 went into effect on September 1, 2021, making several revisions to the Texas Government Code regarding public defined benefit pension plans. The law also includes compliance standards for FSRPs. As fiduciaries, we hold ourselves to a high standard of ethics and continually put our clients’ needs and wishes above our interests.
Sara Grillo
MARCH 13, 2023
According to Bak, assets don’t care about the ethics of their investors. In October of 2021, ProShares was successful in bringing the first futures-based ETFs to market. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor.
The Big Picture
DECEMBER 6, 2022
But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. We had really good 2021 in terms of inflows. And at the end of 2021, we’re talking about $120 billion — RITHOLTZ: Wow. BERRUGA: Yeah. And right now, we have close to 100 ETFs.
The Big Picture
FEBRUARY 28, 2023
Between, you know, the 2018 time period and 2021, the public markets experienced multiple expansion on an EV to EBITDA basis of about 11, 12 times, historically. My dad was a business person and had a tremendous work ethic. And so, let me just create a little bit of context for — RITHOLTZ: Sure. RITHOLTZ: Really interesting.
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