Webinar: AI Governance in Practice - What Firms Actually Monitor, Document, and Defend
AI Supervision That Stands Up to Scrutiny
As AI becomes embedded in everyday workflows from note-taking to surveillance and policy automation, regulators are shifting from curiosity to scrutiny.
Many firms have written AI policies. Far fewer have operationalized supervision models that stand up under examination.
This session moves beyond theory and into implementation.
We will explore
How firms define acceptable AI use in real operational environments
What must be monitored vs what creates unnecessary burden
How to supervise AI-assisted workflows without undermining productivity
What documentation actually matters when regulators ask questions
How leading firms are consolidating fragmented compliance, cybersecurity, and data oversight into unified governance models
Sid is a recognized leader in regulatory technology and AI governance for financial services firms. He works directly with broker-dealers and RIAs to design compliance infrastructures that align with SEC and FINRA expectations. His perspective bridges technology, supervision, and regulatory defensibility.
Melinda (Mimi) LeGaye - CEO and Founder, MGL Consulting, LLC
Mimi is a veteran compliance consultant with decades of experience advising RIAs and broker-dealers through SEC and FINRA examinations. She brings a practitioner’s lens to regulatory readiness, documentation standards, and supervisory controls that hold up under scrutiny.
Aaron Spradlin - Chief Technology and Security Officer, United Planners Financial Services
Aaron leads technology, cybersecurity, and data strategy at United Planners, a national independent broker-dealer. He is directly responsible for operationalizing AI governance across compliance, cybersecurity, and enterprise systems.
In this session, he will share how a large broker-dealer approaches AI supervision in practice, what had to change internally, and how governance frameworks are implemented without slowing advisor productivity.
This webinar is designed for RIAs, broker-dealers, CTOs, CCOs, and compliance leaders preparing for increasing AI scrutiny in 2026 and beyond.
