Appendix F. References and further reading
This appendix collects, chapter by chapter, the sources cited in the book along with curated suggestions for deeper study. References point to the specific papers, reports, datasets, and documentation mentioned in the text; Further reading lists resources that extend each chapter's topics beyond the book's scope. URLs were verified as of July 2026.
F.1 Chapter 1: Introduction to AI in finance
F.1.1 References
Morgan Stanley's generative AI assistant for wealth managers, mentioned as an example of AI-powered research synthesis, is described in this case study:
- OpenAI, “Morgan Stanley uses AI evals to shape the future of financial services,” https://openai.com/index/morgan-stanley/
The regulatory frameworks referenced for the Data Asset Layer:
- Regulation (EU) 2016/679 (General Data Protection Regulation), https://eur-lex.europa.eu/eli/reg/2016/679/oj
- Board of Governors of the Federal Reserve System, “Comprehensive Capital Analysis and Review (CCAR),” https://www.federalreserve.gov/supervisionreg/ccar.htm
F.1.2 Further reading
For a structured, vendor-neutral framework for governing AI systems of the kind introduced in this chapter:
- NIST, “AI Risk Management Framework,” https://www.nist.gov/itl/ai-risk-management-framework
FINRA maintains an overview of how AI is being applied across the securities industry:
- FINRA, “Artificial Intelligence (AI) key topic page,” https://www.finra.org/rules-guidance/key-topics/artificial-intelligence