Artificial Intelligence (AI)

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Treasury seeks comments on AI in the financial services sector

Treasury seeks to understand better how AI is being used within financial services, and the opportunities and risks presented by the technology. Comments are due Aug. 12

SEC Chairman Gensler notes AI can create conflicts

"It’s important to recognize, however, that an AI model’s optimization function may incorporate conflicts of interest between the platform and its customers. When brokers or advisers act on those conflicts and place their interests ahead of their investors’ interests, those investors may suffer financial harm"

SEC Commissioner Peirce urges Commission not to crush AI

"[W]e at the Commission need to take a breath and focus on providing clarity to market participants rather than embarking on a more aggressive agenda that seeks to stifle AI"

SEC Commission Uyeda recommends encouraging use of AI

"Artificial intelligence could unleash great potential for investors, including through increased and lower-cost access to personalized investment advice. Innovation in this area is something that regulators ought to be encouraging"



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.


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