Webinar with Zocks: AI Without the Risk: Compliance Best Practices for Financial Professionals

John O’Connell, Mark Gilbert of Zocks, Stacie Craddock of Integrated Compliance Advisors, and Jason Gross of Colorado’s Division of Securities participated in this webinar on best practices for implementing AI tools while staying compliant. The AI and compliance experts covered:

• How to ensure data security when client information moves to the cloud
• The “human in the loop” requirements for books and records
• When and how to disclose AI usage in marketing materials
• Maintaining fiduciary responsibility when AI assists with recommendations

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.