Regulatory Exams Are Changing: How AI Helps Firms Stay Ready

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Regulatory exams are becoming less about preparing for a single event and more about maintaining continuous readiness. As firms adopt AI, expand technology stacks, and manage increasingly complex compliance and cybersecurity requirements, they need to be able to demonstrate not only that policies exist—but that controls are operating, evidence is organized, and accountability is clear.

Join SurgeONE for a practical discussion on how AI can help RIAs and broker-dealers strengthen regulatory readiness without replacing human judgment and oversight.

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What You’ll Take Away:

• How regulatory exam readiness is shifting from reactive preparation to continuous compliance
• Where AI can help identify gaps, organize evidence, and improve compliance workflows
• How to balance AI-driven efficiency with human oversight and accountability
• What firms should consider when evaluating AI and technology vendors
• How to strengthen documentation, cybersecurity, data management, and regulatory readiness
• Practical steps firms can take now to prepare for upcoming regulatory and year-end demands
• Don’t wait for the next exam request to discover the gaps.

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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.

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