SEC - AI Sweep Exam · RIA Operators

SEC - AI Sweep Exam

I am deputy CCO at my RIA, so I try to stay abreast of regulatory "current events". This is a short article that recently hit my inbox. Basically, the SEC is paying attention to how firms use AI and it will be important for RIAs to be careful about how they use it. Something to keep in mind as we explore new tools to try and serve clients better.

https://www.acaglobal.com/insights/sec-conducts-sweep-ai-use-investment-advisers?_hsmi=286561699&_hsenc=p2ANqtz-9QYJvsSBQEr0uasuMwPYLaNSSr0PGIp1rHVW4CEq0-FJcVQS9dx-_R88t7juQgu4VMq-RtPw8zpxugN1lw_anI1jLDcLQSOBYtqlHFNh1zoGI44x8&utm_campaign=2023-12-14-compliance-alert&utm_medium=email&utm_source=hubspot

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