AI

This is the SEC's new proposed rule directing IAs to gauge the potential of conflicts created by use of AI-like technologies

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 ...

'There’s a logical hole somewhere in the network architecture...'

'This is not where anybody wants to be a first mover...'

"The use of predictive data analytics, however, also can lead to potential conflicts. Conflicts may arise to the extent that advisers or brokers are optimizing ...

"As to artificial intelligence, this technology already is playing a part in call centers, account openings, compliance programs, trading algorithms, sentiment analysis, robo-advisers, and brokerage ...

"The SEC’s approach to regulating crypto looks somewhat like a decidedly unromantic version of CompuDate from the old TV show: we tell people to come ...

If you think cybersecurity is tough now, don’t worry. It’s going to get worse.