Archive for Securities and Exchange Commission

Artificial Intelligence or Artificial Hype? Investment Firms Caught in the SEC’s Crosshairs

The cases of Delphia (USA) Inc. and Global Predictions Inc. underscore the SEC’s commitment to holding firms accountable for any misleading statements, especially when it comes to the use of AI.

Vital Lessons from LPL & Ameriprise Ahead of Copilot Implementation

Recent SEC actions against firms like LPL Financial and Ameriprise highlight the need for strong data governance, especially in electronic messaging. Consider this before implementing AI tools like M365 Copilot.