About this page
Given that the SEC has proposed a new rule targeting the use of AI by investment advisers and broker-dealers, we’ve created this page to assemble all of our AI content in one place.
Artificial Intelligence (AI)
SEC Enforcement Director Grewal touches on crypto, ESG and AI
"Individual liability for disclosure failures related to AI as a security threat may therefore be of particular interest to you"
SEC brings ‘AI washing’ cases
Cases 'should serve notice to the investment industry,' Enforcement Division Director Grewal says in video.
Adviser settles SEC charges of misleading AI claims
The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain of its compliance policies and procedures related to marketing
Former adviser fined for marketing compliance failures around AI
Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel and consultants to understand their respective roles and responsibilities in that process