{"id":11620,"date":"2025-10-17T20:51:24","date_gmt":"2025-10-17T20:51:24","guid":{"rendered":"https:\/\/theoasisgrp.com\/?p=11620"},"modified":"2025-10-23T20:33:49","modified_gmt":"2025-10-23T20:33:49","slug":"webinar-with-zocks-ai-without-the-risk-compliance-best-practices-for-financial-professionals","status":"publish","type":"post","link":"https:\/\/theoasisgrp.com\/webinar\/webinar-with-zocks-ai-without-the-risk-compliance-best-practices-for-financial-professionals\/","title":{"rendered":"Webinar with Zocks: AI Without the Risk: Compliance Best Practices for Financial Professionals"},"content":{"rendered":"\t\t<div data-elementor-type=\"wp-post\" data-elementor-id=\"11620\" class=\"elementor elementor-11620\">\n\t\t\t\t\t\t<section class=\"elementor-section elementor-top-section elementor-element elementor-element-fd8dfe7 elementor-section-boxed elementor-section-height-default elementor-section-height-default\" data-id=\"fd8dfe7\" data-element_type=\"section\" data-e-type=\"section\">\r\n\t\t\r\n\t\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\r\n\t\t\t\t\t\t\t\t\t\t\t<div class=\"elementor-column elementor-col-100 elementor-top-column elementor-element elementor-element-f5b672a\" data-id=\"f5b672a\" data-element_type=\"column\" data-e-type=\"column\">\r\n\t\t\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\r\n\t\t\t\t\t\t\t\t<div class=\"elementor-element elementor-element-bcbd676 elementor-widget elementor-widget-text-editor\" data-id=\"bcbd676\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>John O\u2019Connell, Mark Gilbert of <a href=\"https:\/\/www.zocks.io\/\" target=\"_blank\" rel=\"noopener\">Zocks<\/a>, Stacie Craddock of <a href=\"https:\/\/www.integrated-compliance.com\/\" target=\"_blank\" rel=\"noopener\">Integrated Compliance Advisors<\/a>, and Jason Gross of<a href=\"https:\/\/securities.colorado.gov\/\" target=\"_blank\" rel=\"noopener\"> Colorado\u2019s Division of Securities<\/a> participated in this webinar on best practices for implementing AI tools while staying compliant. The AI and compliance experts covered:<\/p>\n<p>\u2022 How to ensure data security when client information moves to the cloud<br>\u2022 The \u201chuman in the loop\u201d requirements for books and records<br>\u2022 When and how to disclose AI usage in marketing materials<br>\u2022 Maintaining fiduciary responsibility when AI assists with recommendations<\/p>\n<p>This webinar is ideal for a broad spectrum of financial services professionals who are navigating the intersection of AI and regulatory compliance. State and SEC-registered RIAs, registered representatives, compliance teams, family office professionals, and independent trust organization personnel who are either currently using AI tools or considering their implementation will want to watch this informative webinar replay.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-a92e948 elementor-widget elementor-widget-porto_button\" data-id=\"a92e948\" data-element_type=\"widget\" data-e-type=\"widget\" data-settings=\"{&quot;align&quot;:&quot;center&quot;}\" data-widget_type=\"porto_button.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<a class=\"btn btn-xl btn-primary\" href=\"https:\/\/register.gotowebinar.com\/register\/1203912906135667550\" target=\"_blank\" rel=\"nofollow\"><span >Watch the webinar replay<\/span><\/a>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\r\n\t\t\t\t<\/div>\r\n\t\t\t\t\t<\/div>\r\n\t\t\t\t<\/section>\r\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"<p>John O\u2019Connell, Mark Gilbert of Zocks, Stacie Craddock of Integrated Compliance Advisors, and Jason Gross of Colorado\u2019s Division of Securities for this webinar replay on best practices for implementing AI tools while staying compliant.<\/p>\n","protected":false},"author":1,"featured_media":11625,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[120],"tags":[100,92,81],"class_list":["post-11620","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-webinar","tag-ai","tag-data-management","tag-practice-management"],"acf":[],"featured_image_src":{"landsacpe":["https:\/\/theoasisgrp.com\/wp-content\/uploads\/2025\/10\/WebinarGraphic_Zocks.png",579,445,false],"list":["https:\/\/theoasisgrp.com\/wp-content\/uploads\/2025\/10\/WebinarGraphic_Zocks.png",452,348,false],"medium":["https:\/\/theoasisgrp.com\/wp-content\/uploads\/2025\/10\/WebinarGraphic_Zocks-300x231.png",300,231,true],"full":["https:\/\/theoasisgrp.com\/wp-content\/uploads\/2025\/10\/WebinarGraphic_Zocks.png",1300,1000,false]},"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.7 - 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