 | | | | The forecast is calling for sunshine and AI | Whether you're already adopting AI policies or just dipping your toes in the water, taking the time to review and revamp your strategy can save you from scorching fines and reputation damage. The SEC and FINRA have made it crystal clear that they won't be taking a vacation from examinations anytime soon. That's why it's crucial for your firm to have a clear compliance strategy to help shield you from risk and protect your reputation.
So, grab your beach towel, because on August 28 at 11:00 a.m. PT / 2:00 p.m. ET we are diving into how AI is making a splash within financial services firms worldwide.
In this Summer Break Session, we will review: | -
The latest action from the regulatory bodies related to AI -
Best practices for updating policies to reflect AI usage -
How the volume of data impacts review time | | | | | | | | Missed the latest regulatory update? | Hear from our partners at IQ-EQ and FTI Consulting on the Q2 enforcement actions from the SEC and FINRA, highlighting key themes and implications for your firm. Watch Now → | | | | Activating your compliance strategy | Communication channels continue to expand, leaving your firm wondering what constitutes a business record and which channels should be permitted. Hear about these topics and more below. Watch Now → | | | | | Transform oversight into foresight. | | | |
