PLI's inSecurities Podcast - Commissioner Jaime Lizárraga’s Core Values
Investor Protection for ESG Investing and Complex Products
The International Organization of Securities Commissions (IOSCO) has published a consultation report on the use cases, risks and challenges of AI in capital markets. The report, which is based on feedback from IOSCO's members...more
The U.S. Department of the Treasury (“Treasury”) has released a Request for Information on the Uses, Opportunities, and Risks of Artificial Intelligence (“AI”) in the Financial Services Sector (“RFI”). Written comments are...more
On March 18, 2024, the Securities and Exchange Commission announced settled charges against two SEC registered investment advisers for making false and misleading statements about their purported use of artificial...more
Chair Gensler Continues to Be Outspoken About the Risks of AI Technologies - Chair Gensler’s warnings of the potential risks associated with the use of AI technologies in the securities industry recently continued with...more
The Ontario Securities Commission (“OSC”) and Ernst & Young LLP recently published Artificial Intelligence in Capital Markets: Exploring Use Cases in Ontario (the “Report”), which examines current artificial intelligence...more
Like other savvy businesses, investment advisers and broker-dealers have increasingly embraced the use of predictive data analytics, artificial intelligence, and similar technologies (AI-like technologies) to help generate...more
On June 10, 2020, the Financial Industry Regulatory Authority (FINRA) issued a summary report regarding the existing and emerging uses of artificial intelligence (AI) by securities industry market participants. The report,...more