澳大利亚证券和投资委员会：2024年AI治理调查报告面对人工智能创新的治理安排（英文版）（43页）.pdf

1、Beware the gap:Governance arrangements in the face of AI innovation R E POR T 798|OC TOBE R 20242About this reportASIC reviewed how 23 AFS licensees and credit licensees are using and planning to use artificial intelligence,how they are identifying and mitigating associated consumer risks,and their

2、governance arrangements.This report outlines the key findings from that review.About ASIC regulatory documentsIn administering legislation ASIC issues the following types of regulatory documents:consultation papers,regulatory guides,information sheets and reports.DisclaimerThis report does not const

3、itute legal advice.We encourage you to seek your own professional advice to find out how the Corporations Act 2001,National Consumer Credit Protection Act 2009 and other applicable laws apply to you,as it is your responsibility to determine your obligations.Examples in this report are purely for ill

4、ustration;they are not exhaustive and are not intended to impose or imply particular rules or requirements.For privacy reasons,the names of case-study subjects have been changed.CONTENTSFOREWORD3EXECUTIVE SUMMARY 4AI GOVERNANCE:QUESTIONS FOR LICENSEES 8 WHY LOOK AT AI?9FINDINGS:USE OF AI 10FINDINGS:

5、RISK MANAGEMENT AND GOVERNANCE 18WHERE TO FROM HERE FOR LICENSEES?33APPENDIX 1:REVIEW METHODOLOGY AND DEFINITIONS 38APPENDIX 2:ACCESSIBLE DATA POINTS 40APPENDIX 3:KEY TERMS 41A S I C R E P 7 9 83Evereiusa idipictem re la nobit utaqui dolum la nimus sit,sundebit occatur.Am,to endia necae.Ficillu ptat

6、em eatquae rerit,temque non pelecat ut reprehenti resenissita ellabo.Itateni hilluptatemForeword Artificial intelligence(AI)is transforming many aspects of our lives,including how we engage with financial products and services.The potential benefits to business and individuals are enormous digital i