5a. ALL – Artificial intelligence on the Rise (Intermediate - OPEN)

Tuesday
Written By Meghan Flanagan

Compliance officers stand at the confluence of far-reaching and fast-moving developments regarding Artificial Intelligence (AI). Firms increasingly are making use of AI tools, whether directly or through third-party vendors and service providers, to improve efficiency, customer service, data analytics, supervision and other critical business services and functions. The business uses of AI will continue to grow, as the scope, functionality and cost of these tools keeps on improving. Compliance professionals also are considering how AI can benefit them. This session will help compliance officers identify and address the compliance issues, risks and opportunities raised through these developments:

This session is open to regulators but closed to members of the press.

Learning Objectives: 

  • Review the evolution of AI and the various types of AI tools, strategies and use cases currently in the marketplace and under development.

  • Offer insights into the likely and most productive uses of AI by broker-dealers and investment advisors.

  • Identify the added risks of AI when used by third-party vendors, service providers and data sources.

  • Explore how the compliance program can constructively leverage AI for compliance testing and other duties and activities.

Featured
Rosa Licea-Mailloux
Rosa Licea-Mailloux

Head of Compliance Americas; MFS Funds CCO

MFS Investment Management

Ariana Monchick
Ariana Monchick

Managing Director

Salus GRC

Chuck Senatore
Chuck Senatore

Board Member/Audit Committee Chair

Fidelity Digital Asset Services, LLC

Meghan Flanagan
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5b. ALL – Confronting Ethical Erosion (Intermediate - OPEN)