Artificial Intelligence, Compliance, Conflicts of Interest

[Virtual Event] Nonprofit Sector Compliance Conference - May 21st, 8:00 am - 5:00 pm CT

Society of Corporate Compliance and Ethics... on 2/14/2025

Navigate the unique challenges of compliance for nonprofits - From fraud and conflict of interest to tax exemption, fundraising, and data security, nonprofit organizations are faced with significant compliance issues,...more

Investment Advisers and Generative AI

Guidepost Solutions LLC on 3/26/2024

Start Planning Now to Reduce Your Increased Money Laundering, Sanctions, and Conflicts of Interest Risks The introduction and use of generative artificial intelligence (GenAI) and predictive data analytics (PDAs) by...more

[Event] 12th Annual European Compliance & Ethics Institute - March 18th - 20th, Amsterdam, Netherlands

Society of Corporate Compliance and Ethics... on 11/17/2023

Get ready for inspiration, innovation, and new ideas! Join us in Amsterdam for the 12th annual European Compliance and Ethics Institute, 18–20 March 2024. We look forward to gathering in-person once again to share insights...more

Artificial Intelligence, the SEC, and What the Future May Hold

Foley & Lardner LLP on 11/14/2023

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 with federal securities laws. While machine...more

SEC Proposes Stringent New Conflict-of-Interest Rules Regarding Broker-Dealers’ and Investment Advisers’ Use of AI

BCLP on 9/1/2023

On July 26, 2023, the majority of the Commissioners of the U.S. Securities and Exchange Commission (the “SEC”) voted to propose new rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to...more

Broker Dealer Regulatory Digest - August 2023

Davis Wright Tremaine LLP on 8/29/2023

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

A New Frontier: The SEC Addresses Artificial Intelligence (and a Whole Lot More)

K&L Gates LLP on 8/23/2023

Executive Summary - Newly proposed rules (the Predictive Analytics Rules) will, if adopted as proposed, require broker-dealers and investment advisers (firms) to: (i) identify conflicts of interests when using certain...more

SEC Proposes AI Rules for Broker-Dealers and Advisers After Chair’s Warnings

BakerHostetler on 8/8/2023

Chair Gensler’s Public Statements Warning of AI’s Impact on Securities Industry - In his speech before the National Press Club, Chair Gensler focused on the tremendous opportunities AI technology presents but cautioned...more

SEC takes on AI use by broker-dealers and investment advisers - Expansive coverage of types of technology and investor interaction...

Eversheds Sutherland (US) LLP on 7/31/2023

In a Legal Alert issued before the SEC open meeting, we posed five questions that our Investment Services team would be looking out for as part of this meeting. We now have answers to some of these questions....more

Artificial Intelligence › Compliance › Conflicts of Interest