Artwork

Contenu fourni par FINRA. Tout le contenu du podcast, y compris les épisodes, les graphiques et les descriptions de podcast, est téléchargé et fourni directement par FINRA ou son partenaire de plateforme de podcast. Si vous pensez que quelqu'un utilise votre œuvre protégée sans votre autorisation, vous pouvez suivre le processus décrit ici https://fr.player.fm/legal.
Player FM - Application Podcast
Mettez-vous hors ligne avec l'application Player FM !

An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry

37:24
 
Partager
 

Manage episode 404779610 series 2309258
Contenu fourni par FINRA. Tout le contenu du podcast, y compris les épisodes, les graphiques et les descriptions de podcast, est téléchargé et fourni directement par FINRA ou son partenaire de plateforme de podcast. Si vous pensez que quelqu'un utilise votre œuvre protégée sans votre autorisation, vous pouvez suivre le processus décrit ici https://fr.player.fm/legal.

Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to create business efficiencies. While the new technologies offer many potential benefits to firms, regulators and investors, they also introduce unique risks.

On this episode, we hear from Brad Ahrens, senior vice president of Advanced Analytics, Andrew McElduff, vice president with Member Supervision's Risk Monitoring team and Haime Workie, vice president and head of FINRA's Office of Financial Innovation, who are closely looking at these technologies and following developments in this space to learn how FINRA is looking at and thinking about generative AI when it comes to its own business and what it's looking at and seeing when it comes to firm use of these tools.

Resources mentioned in this episode:

Artificial Intelligence (AI) in the Securities Industry

Artificial Intelligence (AI) and Investment Fraud

Reg Notice 21-19: Obligations Related to Outsourcing to Third-Party Vendors

Rule 3110: Supervision

2024 FINRA Annual Regulatory Oversight Report

2023 Executive Order on Artificial Intelligence for Congress

NIST: Artificial Intelligence

Find us: X / Facebook / LinkedIn / E-mail

  continue reading

161 episodes

Artwork
iconPartager
 
Manage episode 404779610 series 2309258
Contenu fourni par FINRA. Tout le contenu du podcast, y compris les épisodes, les graphiques et les descriptions de podcast, est téléchargé et fourni directement par FINRA ou son partenaire de plateforme de podcast. Si vous pensez que quelqu'un utilise votre œuvre protégée sans votre autorisation, vous pouvez suivre le processus décrit ici https://fr.player.fm/legal.

Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to create business efficiencies. While the new technologies offer many potential benefits to firms, regulators and investors, they also introduce unique risks.

On this episode, we hear from Brad Ahrens, senior vice president of Advanced Analytics, Andrew McElduff, vice president with Member Supervision's Risk Monitoring team and Haime Workie, vice president and head of FINRA's Office of Financial Innovation, who are closely looking at these technologies and following developments in this space to learn how FINRA is looking at and thinking about generative AI when it comes to its own business and what it's looking at and seeing when it comes to firm use of these tools.

Resources mentioned in this episode:

Artificial Intelligence (AI) in the Securities Industry

Artificial Intelligence (AI) and Investment Fraud

Reg Notice 21-19: Obligations Related to Outsourcing to Third-Party Vendors

Rule 3110: Supervision

2024 FINRA Annual Regulatory Oversight Report

2023 Executive Order on Artificial Intelligence for Congress

NIST: Artificial Intelligence

Find us: X / Facebook / LinkedIn / E-mail

  continue reading

161 episodes

Tous les épisodes

×
 
Loading …

Bienvenue sur Lecteur FM!

Lecteur FM recherche sur Internet des podcasts de haute qualité que vous pourrez apprécier dès maintenant. C'est la meilleure application de podcast et fonctionne sur Android, iPhone et le Web. Inscrivez-vous pour synchroniser les abonnements sur tous les appareils.

 

Guide de référence rapide