Advanced Markets 2026 On Demand: AI at the Gate Navigating the Regulatory Crossroads for Financial Professionals

As AI tools become more powerful and accessible, firms in advanced markets face new compliance and supervisory challenges. This session unpacks the latest federal and state regulatory developments impacting the use of AI in client engagement, underwriting, and advice delivery. Hear from a regulatory expert who will clarify what’s permissible now, what’s on the horizon, and how firm leaders can responsibly innovate without crossing legal lines. 

By the end of this session learners will be able to:

• Participants will be able to describe current federal and state regulatory considerations related to the use of AI in financial services. 

• Participants will be able to evaluate compliance and supervisory risks associated with AI applications in client engagement, underwriting, and advice delivery. 

• Participants will be able to analyze how fiduciary and regulatory standards apply to AI-supported planning and recommendations. 

• Participants will be able to identify best practices for implementing AI tools in a manner consistent with regulatory requirements and client protection principles