Page 28 - 期货和衍生品行业监管动态（2025年3月刊）

期货和衍生品行业监管动态

The Report’s findings are based on a combination of direct feedback from

IOSCO’s members and industry participants. IOSCO now invites feedback from the

public, including financial market participants, AI developers, academics, researchers,

public policy experts, and other interested parties to inform its approach to developing

tools which might help regulators combat the risks of AI in the future.

The Report identifies five key findings:

 Firms are increasingly using AI to support decision-making processes in

applications and functions such as robo-advising, algorithmic trading,

investment research, and sentiment analysis. AI is also being used to

enhance surveillance and compliance functions, particularly in anti-money

laundering (AML) and counter-terrorist financing (CFT) measures.

 Firms are using recent advancements in AI to support internal operations

and processes through task automation; to enhance communications; and to

improve risk management functions.

 Risks most commonly cited with respect to the use of AI systems in the
financial sector include malicious uses of AI; AI model and data

considerations; concentration, outsourcing, and third-party dependency; and

interactions between humans and AI systems.

 Industry practices are evolving, with some financial institutions

incorporating AI into existing risk management and governance

structures, and others establishing more bespoke frameworks.

 Regulatory responses to the use of AI in the financial sector are also

evolving, with some regulators applying existing regulatory frameworks to

AI activities, and others developing new regulatory frameworks to address

the unique challenges posed by AI.

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