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Securities And Exchange Commission Brings First Enforcement Actions Over

On March 18, 2024 the SEC announced that it had settled charges in separate actions against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc. for making false or misleading statements regarding their use of AI.

United statesExchange commissionProgram on corporate complianceDivision of examinationsDivision of enforcementDelphia united states incGlobal predictionsInvestment advisers actInvestment advisers act ruleAdvisers act ruleMarketing ruleAdvisers actCompliance managerSan francisco basedMarketing rule violations resultsCharges against nine

Artificial Intelligence, the SEC, and What the Future May Hold | Foley & Lardner LLP

With the growing use of artificial intelligence (AI) in financial markets, broker-dealers and investment advisers need to pay attention to the risks posed by AI on firms’ compliance.

G isaac newtonTimnit gebruGary genslerTrustworthy developmentDivision of examinationsNational press club us securitiesFoley lardnerProceedings of machine learning researchBiden administrationExchange commissionSee compliance programs of investment companiesExchange act release noDivision of enforcementExecutive orderArtificial intelligenceIntersectional accuracy disparities

AI Risks in Financial Markets and SEC Oversight

AI Risks in Financial Markets and SEC Oversight
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Timnit gebruGary genslerIsaac newtonExchange commissionProceedings of machine learning researchSee compliance programs of investment companiesDivision of examinationsNational press club us securitiesDivision of enforcementBiden administrationExchange act release noTrustworthy developmentArtificial intelligenceIntersectional accuracy disparitiesCommercial gender classificationMachine learning research

The SEC Addresses Artificial Intelligence

The SEC Addresses Artificial Intelligence
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Gary genslerDefinition of covered technologyTechnology in investor interactionsExchange commissionInvestment companyExchange act release noA broad array of technologyPredictive analyticsPredictive analytics rulesCovered technologyInvestor interactionsProposing releaseInvestor interactionInvestment advisers actAdvisers actInvestment company act

SEC Proposes Sweeping Rules on Broker-Dealer and Investment Adviser Technology Use | Morgan Lewis

The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor.

Morgan lewisA covered technologyExchange act release noFinancial industry regulatory authorityInvestment companySignificant expansion of the regulation communicationsSecurities exchangeExchange act ruleExchange commissionSecurities exchange actExchange actInvestment advisers actAdvisers actInvestment company actRegulation best interestMicrosoft excel