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 ...
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 ...
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 ...
'The SEC also could benefit from staff making greater use of AI in their market surveillance, and disclosure reviews, exams, enforcement, and the like'
"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 ...