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This form, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, could be used for staff to seek permission to use their personal devices ...
New report offers an overview of one of the most active forms of ransomware in 2023 and recommends mitigation techniques
Examiners seek lists of employees, execs, board members with cyber responsibilities
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 .
You have until Oct. 10th to comment on the SEC's proposal directed at AI-related technology and conflicts involving IAs and B-Ds
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 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 ...
'Current regime isn't working,' Peirce says
Artificial Intelligence, Technology, Robot, Futuristic, Data Science, Data Analytics, A.I.
This is the SEC's new proposed rule directing IAs to gauge the potential of conflicts created by use of AI-like technologies
Businessman touching the brain working of Artificial Intelligence (AI) Automation, Predictive analytics, Customer service AI-powered chatbot, analyze customer data, business and technology
The adviser has established a committee to survey how AI may be being used throughout the organization and to potentially develop guidelines. 'We’re working across ...
Artificial Intelligence, Technology, Robot, Futuristic, Data Science, Data Analytics, A.I.
'The SEC also could benefit from staff making greater use of AI in their market surveillance, and disclosure reviews, exams, enforcement, and the like'
SEC Chairman Gary Gensler
"Conflicts may arise to the extent that advisers or brokers are optimizing to place their interests ahead of their investors’ interests. That’s why I’ve asked ...

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