AI Today in 5: August 7, 2025. The US v. China Episode
Taking the Pulse, A Health Care and Life Sciences Video Podcast | Episode 245: Using AI to Improve Radiology with Angela Adams of Inflo Health
AI Today in 5: August 5, 2025, The AI at the SEC Episode
Compliance Tip of the Day: AI, Whistleblowing and a Culture of Speak Up
Podcast - Regulating AI in Healthcare: The Road Ahead
AI and the False Claims Act
Innovation in Compliance: The Future of Compliance Training: AI, Adaptive, Learning, and Cultural
Compliance Tip of the Day: AI, Continuous Monitoring and Compliance
Key Discovery Points: Detecting AI is Difficult and Tricky!
Compliance Tip of the Day: AI and 3rd Party Risk Management
Compliance Tip of the Day: Bringing Predictive Analytics into Your Compliance Regime
(Podcast) The Briefing: The Wrong Argument – Why Authors Lost Against Meta and What Comes Next
The Briefing: The Wrong Argument – Why Authors Lost Against Meta and What Comes Next
Compliance and AI: Navigating Risk Management in the AI Era with Gaurav Kapoor
From OCR to AI The Future of Media and Image Analysis in eDiscovery
(Podcast) The Briefing: Anthropic, Copyright, and the Fair Use Divide
Hospice Insights Podcast - AI in Action: Exploring How AI Is Helping Hospices Do Things in New Ways
AI in eDiscovery Today: An Open Conversation
The Authenticity Advantage: How Runbin Dong’s Scale Social AI Helps Small Businesses Shine
Podcast - FTC to Focus on Deceptive AI Claims: Compliance Management Strategies
The Securities and Exchange Commission (SEC) has recently focused on “rooting out” the misuse of artificial intelligence (AI) by publicly traded companies and brokerage firms. On February 20, 2025, the SEC established the...more
Over the last six years, investment management professionals have steadily increased their use of alternative data to improve decision-making, optimize portfolios, improve due diligence, and boost returns. Now, with widely...more
Artificial intelligence (AI) can and is already changing how firms and registered representatives recommend financial products to customers. AI has the potential to enhance recommendations that registered representatives...more
AI has revolutionized the way many businesses operate. Firms in the financial sector are eager to take advantage of rapidly developing technologies but do not want to risk running afoul of relevant Securities and Exchange...more
In March 2024, the SEC announced that it settled two cases against investment advisers Delphia (USA) Inc. and Global Predictions Inc. for making false and misleading statements about their purported use of artificial...more
The Securities and Exchange Commission on Monday, March 18, 2024, entered into settlements with Delphia (USA) and Global Predictions, which agreed to pay civil penalties totaling $225,000 and $175,000, for “AI...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
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
The Securities and Exchange Commission (the “SEC”) proposed new rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to address the risks to investors from conflicts of interest associated...more
The passage of omnibus federal legislation on the use of artificial intelligence (AI) is unlikely in the short term, but individual federal agencies continue to address the implementation of AI within the areas they regulate....more
Summary - The U.S. Securities Exchange Commission (SEC) has proposed additional compliance obligations on broker-dealers and investment advisers and their use of artificial intelligence (AI), predictive analytics, and...more