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Comment Letter On Sec’S Proposed Rule On Conflicts Of Interest Associated With The Use Of Predictive Data Analytics By Broker-Dealers And Investment Advisers, File Number S7-12-23, Sergio Alberto Gramitto Ricci, Christina M. Sautter Oct 2023

Comment Letter On Sec’S Proposed Rule On Conflicts Of Interest Associated With The Use Of Predictive Data Analytics By Broker-Dealers And Investment Advisers, File Number S7-12-23, Sergio Alberto Gramitto Ricci, Christina M. Sautter

Faculty Works

This comment letter responds to the Securities and Exchange Commission’s proposed rule Release Nos. 34-97990; IA-6353; File Number S7-12-23 - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers. Our comments draw on our scholarship relating to laypersons’ participation in securities markets and the corporate sector as well as on the role of technology in corporate governance.

We express concerns that the SEC’s proposed regulation undermines individuals’ ability to access capital markets in an efficient and cost-effective manner. In the era of excessive concentration of equities ownership and power, often with negative societal …


Finchain: Adaptation Of Blockchain Technology In Finance And Business - An Ethical Analysis Of Applications, Challenges, Issues And Solutions, Naresh Kshetri, Keith Miller, Gaurango Banerjee, Bikesh Raj Upreti Jul 2023

Finchain: Adaptation Of Blockchain Technology In Finance And Business - An Ethical Analysis Of Applications, Challenges, Issues And Solutions, Naresh Kshetri, Keith Miller, Gaurango Banerjee, Bikesh Raj Upreti

International Journal of Emerging and Disruptive Innovation in Education : VISIONARIUM

Blockchain Technology is a distributed database technology that has emerged as a ground-breaking technology with several possible solutions to critical applications, say from supply chain management, agribusiness, marketing to healthcare industry including internet of medical things. Although it started as a digital coin (popularly known as bitcoin), it is slowly influencing business, marketing policy and society. We have presented an in-depth study and ethical analysis of how blockchain is applied over the economic and financial sector including banks, credit unions and other retail giants. During our research, we have also investigated how blockchain technology can affect financial institutions around the …


Thinking Local With Original Data In Ai And Machine Learning Research, David G. Taylor, Robert Mccloud Jan 2023

Thinking Local With Original Data In Ai And Machine Learning Research, David G. Taylor, Robert Mccloud

WCBT Working Papers

Sacred Heart University spent significant funds to establish an AI lab. Initially there is no ongoing research and no real plan for a research agenda. This paper details how the Jack Welch College of Business and Technology created and implemented an active meaningful research plan. It involves two key elements: thinking local and using business connections to foster active, impactful research. Surrounding communities, business connections, area environment, and other Sacred Heart University departments all played a part. The research plan also identifies a specific issue in working with local and business contact sources: the AI researcher almost never gets data …


Novel Technologies And Their Effect On The Customer Journey: Customers' Sentiment With Tesla App, Andrew Jaymes Dec 2022

Novel Technologies And Their Effect On The Customer Journey: Customers' Sentiment With Tesla App, Andrew Jaymes

Electronic Theses, Projects, and Dissertations

This culminating experience project explores how novel technologies, such as artificial intelligence (AI), the Internet of Things (IoT), and virtual and augmented reality (VR/AR), impact customer experience. The customer journey framework was used to analyze customers' responses to interactions with novel Technologies integrated into Tesla electric vehicles. After gathering customer response data from the Tesla Motors subreddit page, we were able to score customer experiences with the Tesla app, over-the-air software updates, and full self-driving features, using the NRC sentiment lexicon. Our results showed customers tended to express more positive sentiments than negative sentiments when describing their experiences with these …


The Law Of Black Mirror - Syllabus, Yafit Lev-Aretz, Nizan Packin Aug 2020

The Law Of Black Mirror - Syllabus, Yafit Lev-Aretz, Nizan Packin

Open Educational Resources

Using episodes from the show Black Mirror as a study tool - a show that features tales that explore techno-paranoia - the course analyzes legal and policy considerations of futuristic or hypothetical case studies. The case studies tap into the collective unease about the modern world and bring up a variety of fascinating key philosophical, legal, and economic-based questions.


Ai Gets Real At Singapore's Changi Airport (Part 1), Steve Lee, Steven M. Miller May 2019

Ai Gets Real At Singapore's Changi Airport (Part 1), Steve Lee, Steven M. Miller

Asian Management Insights

Ranked as the best airport for seven consecutive years, Singapore’s Changi Airport is lauded the world over for the efficient, safe, pleasurable and seamless service it offers the millions of passengers that pass through its facilities annually. Much of Changi Airport’s success can be attributed to the organisation’s customer-oriented business focus and deeply embedded culture of service excellence, combined with a host of advanced technologies operating invisibly in the background. The framework for this technology enablement is Changi Airport Group’s (CAG’s) SMART Airport Vision—an enterprise-wide approach to connective technologies that leverages sensors, data fusion, data analytics, and artificial intelligence (AI), …


Distilling Managerial Insights And Lessons From Ai Projects At Singapore's Changi Airport (Part 2), Steve Lee, Steven M. Miller May 2019

Distilling Managerial Insights And Lessons From Ai Projects At Singapore's Changi Airport (Part 2), Steve Lee, Steven M. Miller

Asian Management Insights

Since 2017, Changi Airport group (CAG) has initiated a host of pilot projects that use connective and intelligent technologies to enable its move towards digital transformation and SMART Airport Vision. This has resulted in a first wave of deployment of AI and Machine Learning-enabled applications across various functions that can better sense, analyse, predict, and interact with people.


The Rise Of Artificial Intelligence In The Legal Field: Where We Are And Where We Are Going, Sergio David Becerra Mar 2018

The Rise Of Artificial Intelligence In The Legal Field: Where We Are And Where We Are Going, Sergio David Becerra

The Journal of Business, Entrepreneurship & the Law

The twenty-first century has brought significant technological advancement that permeates all aspects of our lives. The legal field, though slow in the adaption of this technology, is beginning to pick up the pace. Artificial Intelligence (AI) technology is used now to perform legal work once completed solely by legal practitioners. This Comment outlines what AI is and reviews the current use of AI in the legal field. It also identifies AI products and developments that are in place. Finally, it argues that lawyers will always be needed in the practice of law, despite the continued growth of AI.