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ON DEMAND: SEC’s Proposed “Predictive Data Analytics” Rule for Broker-Dealers and Investment Advisers
Credit: 0 Credit Hours This program examines the SEC’s recently proposed rule addressing the broker-dealer and investment adviser use of “predictive data analytics” and their associated conflicts of interest. The panel will analyze the potential impact of the proposed rule, discuss the comments received by the SEC, and explore how the final rule might impact existing Reg BI and fiduciary duty compliance programs. Among other things, the panel will discuss the scope of the “covered technologies” and “investor interaction” definitions, as well as the different meanings of an “investor” in the respective rules for broker-dealers and investment advisers. The panel will also address how the SEC’s proposed rule may fit within its overall plans to regulate artificial intelligence, and what this means for firms that seek to use new AI-focused technologies to innovate in an effort to deliver value to clients. Renew or join Communities to receive the best discount on registration. Click here to log in and join Communities.
Are you a current law student and looking to register for one of our programs? Learn about the D.C. Bar Law Student Community and attend most individual programs at a discounted rate. Find out more here. Sponsored by: Broker-Dealer Regulation Committee of the D.C. Bar Corporation, Finance and Securities Law Community Co-sponsored by:Investment Management Regulation Committee of the D.C. Bar Corporation, Finance and Securities Law Community Program Partner:Eversheds Sutherland Speakers:
James Burns, Partner, Cleary Gottlieb
Issa Hanna, Partner, Eversheds Sutherland
Andrew McCormick, U.S. Senior Counsel, eToro
Sirimal Mukerjee, Senior Special Counsel, U.S Securities and Exchange Commission, Division of Investment Management
Jack Murphy, Director, Securities Law Program, The Catholic University of America Columbus School of Law
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