Image For Activity Cover
2024 Playbook Series #1, Session #3: What Are the Legal, Compliance, and Cybersecurity Implications in 2024?
Course Information
Content Level: Intermediate
NAPFA Subject Area: K-Marketing & Practice Management
Course Description
Now that you've had a chance in dive in and what this technology is capable of, let's start putting some guardrails around it. Where does it make sense to use it? And where might we need to limit or prohibit it in our firms? Whether you're a solo advisor or growing your firm, having guidelines in place will allow for efficient growth with the approved use of AI, without spinning out of control.
Learning Objectives
1. Understand the global issues surrounding AI, such as privacy and security.
2. Learn how to use AI in ways that are compliant, and things to avoid.
3. Discover how to create guidelines and operation procedures that keep safeguards in place for you and your clients.
Speaker
Myles Blechner

Myles Blechner provides senior-level compliance consulting services to retail and institutional broker-dealers, investment company advisors, and private fund advisors. His areas of expertise include regulatory examination guidance and management, policies and procedures drafting, advertising and marketing review, and internal examinations. Myles takes a hands-on approach to regulatory compliance, understanding his clients' unique business models and tailoring risk-based compliance programs that meet their specific needs.

Miles serves as outsourced Chief Compliance Officer for some of ACA’s most sophisticated clients, including private equity advisors and wealth managers. Over his 25 years in the industry, he has worked directly with national wire houses, investment banks, wealth managers, private fund advisors, and other financial industry members. Myles has held positions on corporate advisory boards and is a frequent speaker at national industry conferences and webinars. He currently holds FINRA Series 4, 7, 9, 10, 24, 53, 55, 63, 79, and 99 registrations.

Leila Shaver

Leila Shaver, founder and managing partner of My RIA Lawyer, has a decade of experience providing legal and compliance guidance to the financial services industry with a healthy dose of energy and fun. Her boldness with regulators, comfort working in the gray, and experience as CCO and general counsel to multi-billion dollar companies has made her the go-to provider in the independent space. She is sought after for her expertise as well as her willingness to help business owners meet their goals while complying with state and federal regulations. Through the experience clients have with My RIA Lawyer, Leila is changing how firm owners see compliance and legal providers, not as business prevention departments but business growth consultants.

Sharon Klein

Sharon Klein leads the privacy, security, and data protection group for her law firm, Blank Rome. She advises businesses on assessing and mitigating risks related to the privacy and security of personal data, ownership, and commercialization of data and artificial intelligence; planning, drafting, and implementing privacy, security, and data protection policies and best practices; compliance with global, federal, and state privacy and security laws, regulations, and rules; data governance; and breach response, crisis management, and remedies for non-compliance.

Sharon is certified as an information privacy professional by the International Association of Privacy Professionals. She has more than 35 years of experience advising clients in all sectors on data privacy, cybersecurity, and complex technology transactions. Her acumen in data privacy stems from her significant experience executing cloud and technology contracts as well as the 12 years she spent as associate general counsel at Siemens Medical Solutions USA.

Summer Parry, CFP® - Moderator 

Summer Parry, CFP®, grew up outside of Sacramento, CA with financially astute parents. Her dad is also a CFP® practitioner, and her mother is a real estate investor. Money was a common topic of her childhood – and this propelled Summer in her desire to become a financial planner. Summer graduated from Brigham Young University with a degree in finance and began her career at an independent financial planning firm. After passing the CFP® exam, Summer moved to New York City, where she works at an independent firm providing comprehensive planning to high-net worth executives. Summer has always loved technology and has become an expert in applying new tools into her job as a financial planner.

 

Summary
Availability: On-Demand
Access expires on 12/31/2025
Cost: Member: $39.00
Non-Member: $59.00
Credit Offered:
1 NAPFA CE Credit
Recommended
Powered By