AI

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

RCW shares an example of an IA P&P

"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 ...