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
SEC Commissioner Peirce comments on IAC topics
"Attempts to fill disclosure rulebooks with requirements specific to climate, artificial intelligence, or any other hot topic disserve investors in several ways"
Strategies for moving ahead with AI
You’re advised to take some type of stance on the use of AI for work because, if you don’t, employees may be tinkering with the technology behind your back
‘Effective practices’ for public communications
The supervision of firms' social media influencers, generative AI, and the promotion of securities lending programs addressed in new report
CFTC issues AI guidance
The burgeoning use of artificial intelligence has inspired the CFTC to issue new guidance targeted at all registered entities, including CPOs and CTAs
SEC Chairman Gensler talks risk, AI and crypto
"As the FSOC annual report highlights, certain large multi-strategy and macro hedge funds are significantly leveraged, receiving the vast majority of their repo financing in the non-centrally cleared market. That’s part of the reason why successful implementation of the new Treasury clearing rules is so important"
Eye states’ rules on artificial intelligence
While federal regulators and legislators may be perplexed about how to handle AI, many states aren’t standing still on the question
