Defensible AI: How Firms Can Use AI Without Creating Regulatory Risk
Discover how to unlock AI's potential without increasing regulatory risk
SurgeONE.ai team of experts will discuss how firms can adopt AI responsibly while maintaining regulatory defensibility. The conversation will focus on What “defensible AI” means in a regulated environment
We will explore
How firms are balancing AI adoption with supervision and oversight
Where firms may be unintentionally creating regulatory exposure
How regulators are likely to evaluate AI-assisted workflows and decision-making
What governance, documentation, and controls firms should be thinking about now
Sid is the CEO of SurgeONE.ai and a recognized leader in regulatory technology. Previously, Sid founded compliance platform, Entreda, now part of Smarsh/K1. He has deep expertise in building compliance-focused platforms and advising financial institutions on how to integrate AI while maintaining regulatory trust..
Melinda (Mimi) LeGaye - CEO and Founder, MGL Consulting, LLC. MGL Consulting
Mimi has spent decades advising RIAs and broker-dealers through SEC and FINRA examinations and helping firms operationalize supervisory controls and compliance programs.
Justin Chretien - Chair of the Securities Industry Group. Carlton Fields
Justin previously held senior enforcement and litigation roles at FINRA, the SEC, and the Department of Justice, and today advises financial firms on investigations, examinations, and regulatory risk.
Learn what regulators expect from AI and how to build a defensible AI strategy for your organization - Contact us
