On December 5, 2024, the U.S. Commodities Futures Trading Commission (CFTC) staff (Staff) issued a staff advisory (Advisory) on the use of artificial intelligence (AI) by market participants in CFTC-regulated markets.1 Staff...more
12/16/2024
/ Artificial Intelligence ,
Best Practices ,
CFTC ,
Commodities Traders ,
Commodity Exchange Act (CEA) ,
Compliance ,
Derivatives Clearing Organizations ,
Designated Contract Markets (DCMs) ,
Emerging Technologies ,
Financial Services Industry ,
Machine Learning ,
NFA ,
Risk Management ,
SEFs ,
Software ,
Swap Data Repositories
On October 16, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its annual Examination Priorities for fiscal year 2024 (the (“Report”), marking the first time the...more
10/26/2023
/ Anti-Money Laundering ,
Artificial Intelligence ,
Broker-Dealer ,
Conflicts of Interest ,
Cryptoassets ,
Customer Protection Rule ,
Cybersecurity ,
Disclosure ,
Emerging Technology Companies ,
Information Security ,
Investment Adviser ,
Regulation Best Interest ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)