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Cases 'should serve notice to the investment industry,' Enforcement Division Director Grewal says in video.
Close-up stock photograph showing a touchscreen monitor being used in an open plan office. A woman’s hand is asking an AI chatbot pre-typed questions & the Artificial Intelligence website is answering
The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...
Woman holding ai icons with laptop
Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...
SEC Chairman Gary Gensler
"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...
"If an investment adviser is claiming to employ AI and offering you investment advice, or a company is making claims about incorporating AI technology in ...
The "biggest and most powerful" implementation being seen so far with AI is efficiency gains
When it comes to AI, the use of third-party vendors is the current, primary driver, making supervision critical
The Q&A left Gensler with no doubt where the advisers stand on all those new SEC rules
Digital data flow on road with motion blur to create vision of fast speed transfer . Concept of future digital transformation , disruptive innovation and agile business methodology .
RCW shares an example of an IA P&P
SEC Chairman Gary Gensler
"AI also can also raise issues if the optimization function in the AI system is taking the interest of the platform into consideration as well ...
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