Communication

SEC approved rule amendment allowing broker-dealers to include performance projections and targeted returns in marketing materials for eligible clients.

Changes in the surveillance function were the focus of one discussion at XLOD Global.

The announcement comes after mounting concerns about the use of off-channel communication apps by government and public sector employees, raising alarm about information security at higher levels.

Widespread adoption of AI tools and other technologies is having a profound impact on the way we work.

Announcement comes at the same time the government has stepped up efforts to ensure the online safety and wellbeing of UK individuals, especially children.

Size of business and sector are key factors in AI adoption, with finance, Information, and communication the areas most likely to use it.

UK Information Commissioner’s Office took action after being alerted by members of the public.

SIFMA said these rules need to be redrafted so firms can “more effectively manage their relationships with clients through seamless and modern communication.”