Ensuring Compliance Through Regulatory Intelligence and Documentation

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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

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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

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Featuring perspectives from

• Sid Yenamandra -CEO and Founder, SurgeONE.ai
  
  • 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.

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Learn what regulators expect from AI and how to build a defensible AI strategy for your organization - Contact us

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