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CCO Responsibilities, Policies and Procedures Gretchen Sturdivan CCO Responsibilities, Policies and Procedures Gretchen Sturdivan

RIA AI Infiltration

This article will address a few areas for consideration when the CCO is developing policies and procedures around the use of generative AI within the firm. The goal of the policies and procedures should be to address cybersecurity threats connected with generative AI use, mitigate risks associated with potential misinformation, protect client data, and ensure compliance with the ever-evolving SEC regulations and exam priorities.

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