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
