What You Will Learn

    Explore how artificial intelligence is reshaping investment advisory, and what it means for compliance.

    AI is no longer a futuristic concept; it’s a present-day reality for investment advisers. From automating workflows to enhancing client insights, it offers transformative potential. Yet with opportunity comes responsibility. As firms adopt new technology, they must also navigate the compliance, governance, and ethical implications that come with it.

    Explore the compliance, governance, and operational considerations of AI adoption.

    Key Takeaways:

    • AI risks: Understand key compliance, operational, and data privacy risks.
    • Policy essentials: Learn about governance frameworks, disclosure requirements, and supervisory controls.
    • Innovation vs. compliance: Discover how to balance efficiency with transparency and regulatory obligations.

    Register
    Our Speakers
    • Alvaro Soto, Director, ACA Group
    • Kris Lau, Managing Director, ACA Group
    • Neha Pasricha, Senior Principal Consultant, ACA Group
    • David Adams, Partner, Mintz

    CPE Credit

    Credit: Participants can earn up to 1 CPE credit in Regulatory Ethics for this webcast.

    Program level: Intermediate

    Prerequisites: Previous experience in managing a regulatory compliance program for a financial services firm. No advanced preparation necessary.

    Who should attend: This webcast is designed for CCOs and compliance professionals who are looking to better understand the risks that come from using AI and how to mitigate them. 

    Delivery method: Group Internet Based

    Refund/Cancellations: There are no costs associated with attending this webcast. Attendees may cancel their registration at any time by emailing webcastinfo@acaglobal.com.

    Questions? If you have any questions or concerns about this program or CPE credit, please contact Sharon Stevens at Sharon.stevens@acaglobal.com.

    NASBAACA Group is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website, www.NASBARegistry.org.

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    Our global team of regulatory compliance professionals includes former SEC, FINRA, FCA, CFTC, NFA, and state regulators, as well as former senior managers from prominent financial institutions and advisory firms. We work with compliance and legal professionals to review and develop compliance programs based on best practices, current regulatory requirements, and robust oversight processes.

    Gain peace of mind as you launch, grow, and protect your business with ACA.

    Contact us

    Our regulatory compliance, managed services and technology gives you access to full service GRC solutions that can help you launch, grow, and protect your firm.