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As a firm and individually, we have been actively studying the use of artificial intelligence (AI) in wealth management—and more specifically how investmentadvice generated through AI is sought out and applied—for the past three years in its many different applications across the industry.
Implemented in 2021, EMIR has since impacted the financial landscape through the imposition of strict requirements on over-the-counter (OTC) derivatives transactions. A key aspect of Reg BI is the establishment of a higher standard of conduct for broker-dealers when making recommendations to retail customers.
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