AI enforcement · Securities and Exchange Commission

Delphia (USA) Inc. settles SEC charges

Delphia (USA) Inc. · settled · what the party said about AI. The newest step in this record is dated 18 Mar 2024.

The agency’s words

quoted from the release
Party
Delphia (USA) Inc. — SEC.gov | SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence
AI
regarding its purported use of AI and machine learning that incorporated client data in its investment process — SEC.gov | SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence
Alleged
The SEC says: The order finds that these statements were false and misleading because Delphia did not in fact have the AI and machine learning capabilities that it claimed. — SEC.gov | SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence
Docket
The release names no docket number.

Every step

oldest first
  1. 18 Mar 2024 Delphia (USA) Inc. settles SEC charges · settled Delphia agreed to pay a civil penalty of $225,000 — SEC.gov | SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence; date from the release’s date line, “Washington D.C., March 18, 2024 —”
in this record

Cite this action

jesseahawkins.com, “Delphia (USA) Inc.: SEC action that names AI”, AI enforcement record, release read 3 Nov 2026. https://jesseahawkins.com/rules/enforcement/sec-delphia/

Sources

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