How can firms harness the benefits of AI while maintaining strong supervisory and compliance practices?
FINRA recently hosted a roundtable where member firms discussed how they are using generative AI across surveillance, communications review, onboarding, account maintenance, marketing review and other areas. Participants highlighted AI's potential to improve efficiency and surface risk with more nuance and contextual insight than traditional tools. Observers from the
@SECGov,
@NFA_News and industry associations also attended.
A consistent theme emerged: While AI can strengthen supervision and compliance, human accountability remains essential. Firms emphasized the importance of clear governance, accountable model owners, ongoing monitoring and human review of flagged activity.
As AI capabilities continue to evolve, participants expressed a desire for practical, timely guidance that supports innovation and AI-driven efficiencies, including emerging agentic and autonomous capabilities, while preserving investor protection and strong supervisory safeguards. Learn more about FINRA's AI work:
bit.ly/4hkFabr
#AI #Compliance #RegTech #FinancialServices #InvestorProtection