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Implementing AI: Practical Steps for Advisers and Broker-Dealers Deploying AI Compliance Tools Amidst Regulatory Uncertainty


Date: June 26, 2024

Time: 1:00PM - 2:00PM (EST)

The two letters “AI” seem to be everywhere today. But what do people actually mean when they use them, particularly in the compliance context? More importantly, aside from adding the letters “AI” into marketing decks, how do current AI-powered technologies differ from similar technologies just a few years ago, how easy is it to implement AI, and what are the real-world benefits, and risks, of using AI tech?

Please join us for our virtual roundtable event co-hosted by Mintz and ACA Group. During the discussion, you will hear perspectives from a diverse group of industry stakeholders including a Y-Combinator startup building new AI tools, and legal and compliance professionals in the traditional finance and crypto spaces.

Attendees will come away from the roundtable with a better understanding of:

  • Real-World Implementations of AI: Insights into how AI is being deployed by broker-dealers and investment advisers today to enhance efficiency and manage compliance risk, and ideas for implementation at their own advisers and broker-dealers.
  • AI Regulatory Landscape & Best Practices: Current SEC and FINRA regulations affecting the use of AI, including guidance on risk management, ethical considerations, and transparency.
  • Future Momentum: Expert predictions on the future evolution of AI in the financial services sector and ongoing regulatory considerations.

Register for Event


Professional Cropped David Adams

David G. Adams


David G. Adams is a securities regulatory and enforcement attorney with 20 years of experience in the financial services industry. He partners with innovators around the world to help them capitalize on emerging US legal and regulatory trends at the intersection of financial technology and US financial regulation.

Mamal Amini


Co-founder & CEO, GovernGPT

Thomas Armstrong


Compliance Advisor, TRM Labs

James Downing


Senior Principal Consultant, ACA Group