SEC Integrates AI and Machine Learning for Risk Assessment

The regulator began using machine learning after the 2008 financial crisis and is working on creating more machine-readable documents.


Machine learning and artificial intelligence are helping the SEC speed up the process for identifying possible misconduct.

SEC acting director for the division of economic and risk analysis, and acting chief economist Scott Bauguess said during his keynote speech at the CyberRisk North America event in New York that the regulator has been working on integrating artificial intelligence into its examination process.

“The underlying science is remarkable and this data-driven approach makes it

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FCA declines to directly regulate market data prices

A year-long investigation by the UK regulator to determine whether competition is hindered in the wholesale data markets has concluded with its decision not to directly regulate much-maligned data pricing and licensing structures.

How GenAI could improve T+1 settlement

As well as reducing settlement failures, researchers believe generative AI can provide investment managers with improved research, prioritization, and allocation resources.

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