美SEC主席:AI重塑资本市场监管,将打击利用AI进行欺诈或夸大宣传行为

Odaily星球日报讯 美 SEC 主席 Paul Atkins 在金融稳定监督委员会人工智能创新系列圆桌会议上发言指出,AI 将重塑资本市场监管,美 SEC 已于今年 8 月成立 AI 工作组,推动人工智能在风险评估、市场异常监测、信息披露审核及市场风险分析等方面的应用,在监管思路上 SEC 将坚持“技术中立”与基于“重要性原则”的信息披露框架,反对针对新技术简单叠加清单式强制披露要求,对于利用 AI 进行欺诈或夸大宣传的行为将依法追责。Paul Atkins 补充表示,作为监管机构,美 SEC 不会回避 AI 浪潮,而是选择理解、评估并在适当情况下采纳相关技术,同时鼓励市场参与者与监管部门保持开放对话,共同推动资本市场稳健发展。

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