AI

"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 ...

Among the industries likely to be most affected by AI are financial services, and even compliance

It’s very likely that your firm already uses AI and may not even know it

"The challenges to financial stability that AI may pose in the future will require new thinking on system-wide or macro-prudential policy interventions. Regulators and market ...

Predictions already note that as more of the financial services industry adopts artificial intelligence technologies, the bad guys will as well. Envision dueling AI

FINRA cautions that the use of AI tools could implicate virtually every aspect of a firm's regulatory obligations

"AI may heighten financial fragility, as it could promote herding among individual actors making similar decisions as they get the same signal from a base ...

"The proposal’s broad sweep could mean that firms would spend inordinate amounts of resources to identify all covered technologies, evaluate and test those technologies to ...

Two months ago, RCW revealed that the SEC’s Division of Examinations has launched a sweep exam related to advisers’ use of artificial intelligence—but we weren’t ...

RCW has obtained a copy of the SEC Division of Examinations' sweep exam letter tied to AI or artificial intelligence