What's Allowed, What's Not, and What's Next?

Regulations are always evolving and often uncertain when it comes to AI. Stay ahead of the compliance curve with AI tools tailored for the wealth management industry. In this session, compliance experts will explore how AI can be utilized to navigate the complexities of FINRA and SEC regulations, as well as the new DOL retirement advice rule. Discover strategies to maintain compliance while minimizing reputational risks and enhancing operational efficiency. This session is essential for firms and financial advisors seeking to ensure their practices align with current and upcoming legal standards.