Brian Gort, a partner at Parker McIntyre, shares his expertise on the complexities surrounding AI in investment adviser marketing. Unlike traditional advertising rules, AI requires firms to interpret current SEC guidance carefully to avoid potential violations.
Key Takeaways:
- What is "AI washing," and why does the SEC prioritize it?
- Highlights from two recent enforcement cases with combined penalties exceeding $400,000.
- How to build and maintain robust advertising policies and compliance procedures.
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