The SEC Announces its 2025 Exam Priorities - O'Melveny
Artificial Intelligence: The Division introduced a newrisksection, “Emerging Financial Technologies,” specifically identifying AI and warning that …
SEC 180
Organization · also: Securities and Exchange Commission
Securities Enforcement Roundup – October 2024 - Morgan Lewis
...risks. Continuing its quest against “AI washing,” the SEC charged ...artificial intelligence(AI). The SEC levied significant penalties in …
Artificial Intelligence Stays in the SEC's Cross-Hairs | BCLP - JDSupra
JD Supra Provide tailored, rather than boilerplate disclosures, commensurate with AI'smateriality to the company, about materialrisksand the impact AI is …
Selling Spirals: Avoiding anAIFlash Crash | Lawfare
media.orgA warning from the SEC about the financialrisksposed by AI trading has so far gone unheeded …
SEC Chair Gensler Praises Current PCAOB Members, Criticizes Past Boards
Thomson Reuters tax Over 60% of large companies reviewed believe they have material artificial intelligence (AI)risks, according to a new report by … October 30 …
SEC Continues Focus OnAIAnd Cyber-Risk Related Enforcement Cases - Mondaq
The SEC kicked off its fiscal year by bringing enforcement actions focused on AI and cyber disclosures …
The SEC's Division of Examinations Announces 2025 Priorities | JD Supra
...risksand related harm for investors.” In addition to conducting ...AI and Emerging Technology: For investment advisers that integrate AI …
SEC Division of Examinations 2025 Exam Priorities – a Focus on Artificial Intelligence...
Morrison Foerster Risk Areas Impacting Various Market Participants. Cybersecurity. The 2025 Priorities reiterate that operational disruptionrisksremain elevated due …
The SEC's Division of Examinations Announces 2025 Priorities | Troutman Pepper
... fiduciary duties, cybersecurity,artificial intelligence, and anti-money laundering to address evolving marketrisks …
Compliance Alert: SEC's 2025 Examination Priorities – Publications - Morgan Lewis
There is a heightened focus on registrants' use ofartificial intelligence(AI) ...risks. The Division also conductsrisk-based examinations of …
SEC Continues Focus on AI and Cyber-Risk Related Enforcement Cases - Baker Botts
The SEC kicked off its fiscal year by bringing enforcement actions focused on AI and cyber disclosures. As discussed in more detail below: …
SEC Continues Focus on AI and Cyber-Risk Related Enforcement Cases | JD Supra
The SEC kicked off its fiscal year by bringing enforcement actions focused on AI and cyber disclosures. As discussed in more detail below: …
Navigating the SEC's Focus onAIDisclosures - Law.com
As AI is transforming various aspects of business operations from customer service automation to advancedriskmanagement models, the Securities …
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AIWashing Erodes Consumer and Investor Trust, Raises Legal Risk- Bloomberg Law News
Bloomberg Law NewsFTI Consulting directors caution against misleading statements about AI, noting that actions by the SEC and FTC highlight the consequences of …
SEC's and Private Litigants' Continued Focus on "AIWashing" | Jones Day - JDSupra
JD Supra Chair Gensler observed that investors benefit from disclosures about materialriskfrom AI that are "particular to the company" rather than "boiler …
SEC Form 6-K filed by SK Telecom Co. Ltd. - Quantisnow
X Caliber is an innovative service that uses AI to analyze X-ray images of dogs/cats within around 15 seconds. Since X Caliber uses cloud to store …
SEC's QuietAIRevolution | Corporate Compliance Insights
SEC Chairman Gary Gensler has warned of AI enforcementrisk, and Gurbir Grewal, recently departed enforcement head, also spoke of thisrisk: “While …
SEC to Increase Scrutiny ofAITools Used by Brokers, Investment Advisers
CPA Practice Advisor Although the SEC put AI riskson its examination watch list last year, it went into further detail in its latest Division of Examinations report …
SEC to Increase Scrutiny ofAITools Used by Financial Brokers, Advisers
Insurance Journal Although the agency put AI riskson its examination watch list last year, it went into further detail in the latest report. The sharper focus …
SEC to Increase Scrutiny ofAITools Used by Brokers, Advisers - BNN Bloomberg
They have sounded alarms about everything from discrimination to potential systemicrisk. The SEC has clamped down on so-called AI washing, or …
SEC to Increase Scrutiny ofAITools Used by Brokers, Advisers - Bloomberg Law News
Investment advisers, brokers, clearing agencies and others can expect the SEC to focus on their statements about AI ... Although the agency put AI risks …
SEC Takes Aim at 'Perennial and Emerging'Risks- National Association of Plan Advisors
National Association of Plan Advisors Registrants' use of automated investment tools,AI, trading algorithms and therisksassociated with the use of emerging technologies and alternative …
Recent Charges Against Financial Firms Show That the SEC's Texting Probe Is Far From Over
International Banker Navigating Market Trends and Risks: Leveraging Generative AI in Bank... International Banker. AUTHORITATIVE ANALYSIS ON INTERNATIONAL BANKING. HOME …
Newsom vetoes California AI safety bill and SEC enforcement director to leave agency
| Governance Intelligence...AI and publish plans for the testing and mitigation of extremerisks. – The National Labor Relations Board (NLRB) issued a complaint accusing …
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From dictation to data leaks: FINRA, SEC scrutinize AI risks- Financial Planning
Financial Planning Agencies including FINRA and the SEC are looking at newrisksposed in common use cases ofAI— meeting dictation services, chatbots and using …
California EstablishesAITransparency Act | Workplace Privacy, Data ... - Jackson Lewis
However, the proliferation of Artificial Intelligence (AI), specifically, generative AI ... Exploring AI Risks Reported in SEC Filings Can Be Helpful …
How and When SEC Recordkeeping Rules May Apply toAI-Generated Content - Lexology
Firms in the financial sector are eager to take advantage of rapidly developing technologies but do not want toriskrunning afoul of relevant …
Exploring AI Risks Reported in SEC Filings Can Be Helpful For Many Organizations, Including SMBs
JD Supra One of our recent posts discussed the uptick in AI risksreported in SEC filings, as analyzed by Arize AI. There, we highlighted the importance of …
Risksof Generative Artificial Intelligencein SEC Filings Review
The National Law Review Artificial Intelligence AI risksin Securities and Exchange Commission SEC filings, including competitive impacts, general harms, …
Prepare for more SEC scrutiny ofAI- Private Equity International
Private Equity International In addition to enforcement and rulemaking activities, SEC chairman Gary Gensler has highlighted in speeches AI'spotentialrisksto financial …