FINRA警告经纪人-经销商加强AI监督,因为存在偏见、骗局和不受控制的系统等风险。 FINRA warns broker-dealers to strengthen AI oversight due to risks like bias, scams, and unchecked systems.

FINRA的《2026年监管监督报告》提前发布,以进行合规规划,该报告将染色体AI确定为最高风险,提醒人们注意危险,如不准确的产出、偏见和不受监督的自主代理。 FINRA’s 2026 Regulatory Oversight Report, released early for compliance planning, identifies generative AI as a top risk, warning of dangers like inaccurate outputs, bias, and autonomous agents acting beyond oversight. 报告强调,在文件起草和市场分析等任务中,经纪人-经销商越来越多地使用人工智能,但告诫要警惕未受监测的系统、第三方供应商风险和人工智能协助的骗局,例如深假和钓鱼。 The report highlights growing use of AI in broker-dealers for tasks like document drafting and market analysis, but cautions against unmonitored systems, third-party vendor risks, and AI-facilitated scams such as deepfakes and phishing. 它还强调持续的关切,包括网络威胁、老年人欺诈、洗钱和有缺陷的产品建议,敦促各公司加强治理、记录保存和监督,以保护投资者。 It also stresses ongoing concerns including cyber threats, elder fraud, money laundering, and flawed product recommendations, urging firms to strengthen governance, recordkeeping, and supervision to protect investors.