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This P&P comes courtesy of Debra Konieczny, IACCP, CSCP, CCO at Capital Advisors in Tulsa, Okla.
FINRA's rules apply when firms use Gen AI for business just as they do when firms use any other technology or tool
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As calls increase that Washington should take a greater regulatory approach when it comes to use of artificial intelligence in financial services, a new report ...
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You have until Aug. 12th to reply to a request for industry comments from the Treasury Department about your use and concerns about AI in ...
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Regulators may not be able to keep up with the speed of artificial intelligence’s development
Report stated that more consumers indicated trusting individual financial professionals than AI
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The rapid transformation of markets and business models due to technology is a pressing concern in chairman's view
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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 ...
Gary Gensler
"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 ...
"[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 ...

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