Course

Navigating the Intersection of Generative AI and Compliance: Safeguarding Innovation – May Symp

May 17, 2024

This webinar will explore how compliance officers and risk managers can foster innovation while mitigating risks associated with Generative AI. By adopting a compliance-first mindset, compliance can facilitate rather than hinder innovation, ensuring that projects progress safely.

Course Description

Generative Artificial Intelligence (AI) Large Language Models (LLMs), such as ChatGPT, are revolutionizing business processes, support systems, and development methodologies. However, their adoption brings significant challenges in security, data protection, intellectual property, and decision-making. Many firms in the investment advisory, broker-dealer, and private fund sectors are embracing innovation while prioritizing security, privacy, and compliance.

In this webinar, we will explore how compliance officers and risk managers can foster innovation while mitigating risks associated with Generative AI. By adopting a compliance-first mindset, compliance can facilitate rather than hinder innovation, ensuring that projects progress safely.

Learning Objectives

After attending this course, attendees should be able to:

  • Understand the importance of a compliance-first mindset in safely embracing innovation.
  • Identify crucial guardrails for integrating Generative AI Large Language Models into organizational processes.
  • Evaluate and manage acceptable risks associated with Generative AI systems within your organization.

Speakers

Coming soon!

Who is this for?

For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based and Group-Live

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Rule 204-2, to become familiar with the structure and terms, and sample SEC examination request lists.

Advance preparation: None

Continuing Education Credits

COMPLY Continuing Education Guide

Recommended CPE Credit: 2 in the Regulatory Ethics field of study

Recommended IACCP® CE Credit: 2

Recommended CA MCLE Credit: 2