Browsing: Artificial Intelligence

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Data Regulators in China, the UK, and Europe Are Making Moves – What Alternative Data Users Should Know

04/01/2024
The following guest article was written by Mikheil Shengelia, Research Analyst at Eagle Alpha, an alternative data aggregation platform providing supporting advisory services for data buyers and vendors. Regulatory activities in the ...
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SEC Makes First Charges against Investment Advisers For AI Washing

03/26/2024
Last week, the Securities and Exchange Commission (SEC) announced that it had settled charges with two investment advisers, for making false and misleading statements about their use of artificial intelligence ...
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Senators Propose Legislation to Thwart SEC AI Rule

02/14/2024
Recently two U.S. senate republicans introduced legislation targeted at preventing the SEC from implementing its highly controversial rule to control the use of artificial intelligence in the financial services industry. ...
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Where We Are in Generative AI Compliance – Part 2

02/13/2024
The following guest article was written by Dallán Ryan, Head of Content Strategy at Eagle Alpha, an alternative data aggregation platform that also provides supporting advisory services for data buyers ...
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Where We Are in Generative AI Compliance – Part 1

02/12/2024
The following guest article was written by Dallán Ryan, Head of Content Strategy at Eagle Alpha, an alternative data aggregation platform that also provides supporting advisory services for data buyers ...
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2023 Regulatory Review: MiFID II, Privacy, AI and ESG Receive Increased Focus

12/27/2023
Regulatory changes have been a hot topic of debate in 2023, with regulators and lawmakers honing in on research payments, privacy concerns, ESG data harvesting, and the use of artificial ...
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SEC 2024 Exam Priorities: Information Security, Operational Resiliency, AML, AI, Crypto, & ESG

10/25/2023
Last week, the SEC’s Division of Examinations announced its 2024 examination priorities.  A few of the key issues the SEC plans to focus on in their examinations next year include ...

Financial Industry Urges SEC to Withdraw AI Proposal

09/18/2023
Last week, a group of 14 trade associations has asked the SEC to withdraw its proposed rule on investment advisers’ and broker dealers’ use of artificial intelligence, saying the rule ...
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The SEC’s Initial Proposal to Regulate AI in Financial Markets

08/21/2023
On July 26th, 2023 the U.S. Securities and Exchange Commission (SEC) proposed an initial set of regulations aimed at addressing the potential conflicts of interest that could arise from companies’ ...