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US broker-dealer, investment-adviser conflicts in use of predictive data analytics to be addressed in SEC plan

By Neil Roland ( May 18, 2023, 21:26 GMT | Insight) -- The US Securities and Exchange Commission is preparing to propose rules to curb potential conflicts of interest in broker-dealers’ and investment-advisers’ use of predictive data analytics for customer interactions, Chair Gary Gensler said. Predictive data analytics and other digital engagement practices — including behavioral prompts, differential marketing, and game-like features — often are designed with optimizing functions to increase platform revenue, data collection and investor engagement.The US Securities and Exchange Commission is preparing to propose rules to curb potential conflicts of interest in broker-dealers’ and investment-advisers’ use of predictive data analytics for customer interactions, Chair Gary Gensler said....

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