Broker-dealers and advisers are deploying AI across a vast variety of different functions in their organizations including customer interactions, investment, and operations. Mayer Brown partner, Steffen Hemmerich, will participate on a panel, Artificial Intelligence in the Securities Industry, during the PLI-hosted event, “Fintech and Regtech in the Financial Services Industry: Current Issues for Investment Advisers and Broker-Dealers 2023.” This session will cover:

  • SEC rules applicable to broker-dealers and advisers use of AI
  • Requirements around model risk management
  • The broad regulatory landscape applying to Ai use by broker-dealers and advisers

For more information, please visit the event website.