AI in Wealth Management - FINRA, Supervisory Obligations and Protecting Clients

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - April 18, 2024 13:00 - 38 minutes - 26.3 MB - ★★★★★ - 7 ratings
Investing Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed

Previous Episode: AI in Wealth Management - SEC Actions, Best Interest Rules and Recordkeeping

Next Episode: Broker-Dealer Technology: Tomorrow's Platform Transformation Today

Oyster Consulting experts Casey Dougherty, Dan Garrett and Bryan Jacobsen discuss FINRA’s exploration of AI, supervisory obligations with regard to outsourcing AI technology to firms, and best practices for maintaining compliance and protecting clients.

Learn more in our previous podcast, part 1 of the series, as our experts share their insights on AI's impacts on Regulation Best Interest and recordkeeping, with a special focus on how the SEC’s actions around AI will affect compliance teams in the wealth management industry.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!