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The 2026 Annual Regulatory Oversight Report released by the Financial Industry Regulatory Authority (FINRA) introduces a new section dedicated to generative AI.
- Agentic AI, a new threat: The report identifies AI agents as an emerging trend that presents many risks to investors, firms, and markets, such as agents acting beyond the user's intention and the unintentional use or disclosure of sensitive information. Firms are encouraged to develop the necessary supervisory frameworks specific to agentic AI.
- Better governance: To manage AI-related risks, FINRA advises firms to focus on developing adequate supervisory and governance frameworks, implementing robust testing to understand the limitations, monitoring prompts and outputs, as well as assessing the firm's cybersecurity program in relation to third-party vendors.
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