Given that the SEC has proposed a new rule targeting the use of AI by investment advisers and broker-dealers, Regulatory Compliance Watch has created this page to assemble all of our AI content in one place.
Artificial Intelligence (AI)
LATEST AI COVERAGE
The use of AI within compliance
Here are the responses when compliance professionals were asked how embedded the use of AI is within their department
Survey: AI’s coming for compliance
Just over 41% of compliance officers stated they were 'not concerned at all' about their jobs being displaced by AI, compared with 11.3% who were ‘very concerned'
AI warning: Poisoned data
There always seems there are bad actors intent on spoiling things for the rest of us. Take artificial intelligence
SEC final rule: Withdrawal of Proposed Regulatory Actions
This final rule announces the withdrawal of 14 prior SEC rule proposals, including the AI, safeguarding, outsourcing and other rules targeting advisers
Probing AI and financial services
AI tends to raise a lot of alarms but one you may wish to know about is the technology’s ability to mimic you
SEC Acting Chair Uyeda hopes the agency will be neutral on AI
"Financial regulators should take a technology-neutral approach to regulation .... We should avoid an overly prescriptive approach that can lead to quickly outdated, duplicative rules, a 'check the box' approach to compliance, and impediments to innovation"
