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Securities and Exchange Commission (SEC) › Regulatory Requirements › Government Investigations

Secretariat

Mitigating AI Risks: Insights from Regulatory Guidance and Enforcement

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Introduction - The rapid rise of Artificial Intelligence (AI), particularly Generative AI, has transformed various industries. From finance, where AI algorithms help manage investment portfolios and detect fraud, to...more

Bilzin Sumberg

SEC Probes Recordkeeping Lapses Arising from Use of Personal Emails and Messaging

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In the last few weeks, several major U.S. financial institutions have disclosed to investors that the United States Securities and Exchange Commission (“SEC”) and/or the Commodities Future Trading Commission (“CFTC”) are...more

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