AI

SEC Commissioner sees opportunities for improvement in compliance efforts spawned by AI for both financial institutions and regulators alike

Schulte Roth's Kelly Koscuiszka shares suggestions for these early days of AI

Compliance consultant Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., allows RCW to share her example of a P&P permitting the use ...

Compliance consultant Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., allows RCW to share her example of a P&P prohibiting the use ...

Industry group seeks a 60-day comment period extension of the SEC's proposal on conflicts tied to the use of predictive data analytics

You have until Oct. 10th to comment on the SEC’s proposal targeting the use of artificial intelligence

You have until Oct. 10th to comment on the SEC's proposal directed at AI-related technology and conflicts involving IAs and B-Ds

Firms could 'neutralize' a tool’s bias in favor of the adviser by 'rendering the consideration of the firm-favorable information subordinate to investors’ interests, and thus ...

'It’s just a framework,' the consultant says of the AI result

The Commission’s action would create two new rules—one for B-Ds and a second for advisers—plus revise each regime’s respective books and records rules to mandate ...