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Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.
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An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
Manage episode 404779610 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://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
2024 FINRA Annual Regulatory Oversight Report
2023 Executive Order on Artificial Intelligence for Congress
160 episodes
Share
Manage episode 404779610 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://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
2024 FINRA Annual Regulatory Oversight Report
2023 Executive Order on Artificial Intelligence for Congress
160 episodes
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Similar to FINRA Unscripted
The Village Global podcast takes you inside the world of venture capital and technology, featuring enlightening interviews with entrepreneurs, investors and tech industry leaders. Learn more at www.villageglobal.vc.
…
continue reading
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The Washington Post's Presidential podcast explores how each former American president reached office, made decisions, handled crises and redefined the role of commander-in-chief. It was released leading up to up to Election Day 2016, starting with George Washington in week one and ending on week 44 with the president-elect. New special episodes in the countdown to the 2020 presidential election highlight other stories from U.S. presidential history that can help illuminate our current momen ...
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continue reading
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continue reading
An independent podcast examining what the U.S. Congress is doing with our money and in our names. www.congressionaldish.com Follow @JenBriney on Twitter
…
continue reading
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continue reading
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…
continue reading
Professor Elizabeth Joh teaches Intro to Constitutional Law and most of the time this is a pretty straight forward job. But when Trump came into office, everything changed. During the four years of the Trump presidency, Professor Joh would check Twitter five minutes before each class to find out what the 45th President had said and how it jibes with 200 years of the judicial branch interpreting and ruling on the Constitution. Acclaimed podcaster Roman Mars (99% Invisible) was so anxious abou ...
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continue reading
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continue reading
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Go offline with the Player FM app!
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