SEC’s 2025 Priorities Include Fiduciary Conduct, AI Use
STP’s Lori Weston, Director of Product and Strategy was mentioned in planadviser’s SEC’s 2025 Priorities Include Fiduciary Conduct, AI Use.
The Securities and Exchange Commission will prioritize fiduciary conduct, compliance, and the use of artificial intelligence, among other things, as examination priorities in 2025, the regulator’s division of examinations announced Monday.
Lori says the focus areas impact their clients, including private fund advisers and wealth managers. She noted that, while the SEC continues to be focused on the “core tenants of an adviser’s compliance program,” some focus areas came from trending topics such as the integration of AI into operations and procedures.
“While the SEC did list AI as an emerging technology in its 2024 examination priorities, AI is a lot more prominent in this year’s priorities, accompanied by a list of compliance areas that should be noted by any firm that uses AI or has AI exposure,” she says via email. “Firms should pay particular attention to the SEC’s callout regarding the use of AI highlighted in this year’s priorities, including ensuring that they have implemented robust policies and controls, as well as ensuring they have adequate and accurate disclosures.”
Read more about this article and what Lori had to say here.
