In the latest episode of The Regulatory Roundtable, co-produced with Simpson Thacher’s The Funds Channel, we discuss the SEC’s focus on artificial intelligence, including in exams and the recent settlements with two investment advisers in connection with their statements regarding their use of artificial intelligence, and considerations for looking ahead.
Episode Resources:
5/2/24 SEC Examination Lessons Learned During the Biden/Gensler Era and Looking Ahead
4/18/24 Compliance Policies Update Hot Topics
3/19/24 SEC Fines Two Investment Advisers for “AI Washing”
11/1/23 White House Issues Landmark Executive Order on Artificial Intelligence
Meet Your Episode Hosts:
Shannon M. O'Sullivan
Partner; host and moderator of The Funds Channel; concentrates on the formation and operation of a diverse platform of private funds
Meaghan A. Kelly, Simpson Thacher
Partner; specializes in advising fund managers with respect to SEC examinations, compliance and disclosure questions, and SEC enforcement investigations
Contact Us
To learn more, visit us at www.regulatoryroundtablepodcast.com. If you have any questions or any topics you would like to hear covered, contact us at regulatoryroundtable@stblaw.com.
This podcast was recorded and is being made available by Simpson Thacher for general informational purposes only. Listeners should not consider the information available via this podcast to be an invitation for an attorney-client relationship, should not rely on the information provided during the podcast as legal advice for any purpose, and should always seek the legal advice of competent counsel in the relevant jurisdiction. Listeners should not act, or refrain from acting, based on any information made available via this podcast, and Simpson Thacher expressly disclaims all liability in respect of actions taken or not taken based on any contents of this podcast. By accessing this podcast you acknowledge that Simpson Thacher makes no warranty, guaranty, or representation as to the accuracy or sufficiency of the information featured in the podcast. The views, information, or opinions expressed during this podcast series are solely those of the individuals involved and do not necessarily reflect those of Simpson Thacher.
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