AI

"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

While consumer groups applauds the SEC's plan AI rule, the industry overwhelmingly pans it

SEC Commissioner sees opportunities for improvement in compliance efforts spawned by AI for both financial institutions and regulators alike

Schulte Roth's Kelly Koscuiszka shares suggestions for these early days of AI

Examiners seek lists of employees, execs, board members with cyber responsibilities

Compliance consultant Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., allows RCW to share her example of a P&P permitting the use ...

Compliance consultant Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., allows RCW to share her example of a P&P prohibiting the use ...

Industry group seeks a 60-day comment period extension of the SEC's proposal on conflicts tied to the use of predictive data analytics