FINRA Issues Brief Reminder on Managing Generative AI Risk in Supervisory Tools
Debevoise Data Blog
JULY 1, 2024
4] Consistent with this approach, on June 27, 2024 FINRA issued Regulatory Notice 24-09 (the “RN”) reminding members of regulatory obligations when using Gen AI tools for compliance surveillance. 1] See , “ SEC Proposes Rule to Eliminate or Neutralize Conflicts of Interest in the Use of “Predictive Data Analytics ” Technologies.
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