SEC Proposes New Requirements to Address Risks to Investors …
2023年7月26日 · The Securities and Exchange Commission today proposed new rules that would require broker-dealers and investment advisers (collectively, “firms”) to take certain steps to address conflicts of interest associated with their use of predictive data analytics and similar technologies to interact with investors to prevent firms from placing ...
Conflicts of Interest Associated with the Use of Predictive Data ...
2023年7月12日 · The Securities and Exchange Commission (“Commission”) is proposing new rules under the Securities Exchange Act of 1934 (“Exchange Act”) and the Investment Advisers Act of 1940 (“Advisers Act”) to eliminate, or neutralize the effect of, certain conflicts of interest associated with broker-dealers' or investment advisers' interactions ...
2023年10月5日 · The SEC has proposed a new rule to eliminate certain conflicts of interest associated with the use of predictive data analytics (PDA) and similar technologies that use artificial intelligence (PDA-like technologies) by broker-dealers or investment advisers.
SEC’s New Rules on Use of Data Analytics by Broker-Dealers and ...
On July 26, 2023, the U.S. Securities and Exchange Commission (SEC or Commission) proposed new rules for broker-dealers (Proposed Rule 15 (1)-2) and investment advisers (Proposed Rule 211 (h) (2)-4) on the use of predictive data analytics (PDA) and PDA-like technologies in any interactions with investors. [1] .
SEC Proposes Sweeping Rules on Broker-Dealer and Investment …
2023年8月1日 · 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 interactions” by broker-dealers and investment advisers (the PDA Rules).
The Securities and Exchange Commission proposed new rules and amendments to address certain conflicts of interest associated with the use of predictive data analytics by broker -dealers and investment advisers (“firms”) in investor interactions.
Decoding the SEC’s First “AI-Washing” Enforcement Actions
2024年4月18日 · Against the backdrop of its pending proposed rules regarding predictive data analytics (“PDA”) and artificial intelligence, the SEC on March 18, 2024 announced settled charges against two investment advisers—Delphia (USA) Inc. (“Delphia”) and […]
rule proposals. First, the SEC proposed new and amended rules under the Securities Exchange Act of 1934 (the “Exchange Act”) and the Investment Advisers Act of 1940 (the “Advisers Act”) to address conflicts of interest associated with the use of predictive data analytics (“PDA”) and similar technologies by broker-dealers and
SEC Proposes New Rules Targeting Use of Predictive Data …
On July 26, 2023, the Securities and Exchange Commission (SEC) proposed new rules (the Proposed Rules) under the Investment Advisers Act of 1940 (Advisers Act) and the Securities Exchange Act of 1934 (Exchange Act) to address conflicts of interest associated with the use of predictive data analytics (PDA) by registered investment advisers and ...
2023年8月14日 · On July 26, 2023, the U.S. Securities and Exchange Commission (“SEC”) issued proposed rules (the “Proposed Rules”) that would require broker-dealers and investment advisers (collectively, “firms”) to evaluate their use of predictive data analytics (“PDA”) and other covered technologies in connection with investor interactions and to eliminate or...
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