Machine Learning and Artificial Intelligence: Compliance Considerations

Course Description:

Can machines actually learn? How is artificial intelligence advancing our industry? As these areas evolve, how are firms incorporating their use into their operations? Can data driven approaches to computer algorithms be more accurate than logic-based approaches?

As compliance professionals, the growth in processing language is a new consideration in risk management. The power of machine learning can ultimately reduce costs, increase efficiencies, and provide tailored services, but how are risks managed along the way? This session introduces the basic concepts and uses of the subject matter and provides insight into considerations firms should have as the area grows within the industry.

Learning Objectives:

  • Develop an understanding of the basic definitions of machine learning and artificial intelligence
  • Identify the ways in which firms are using these advancements in the operation of their firms and how regulators are using them in the surveillance of the industry
  • Explore the challenges inherent in devising supervisory systems for tasks not performed by humans

For Whom: Designed to increase the professional competence of investment adviser and broker-dealer compliance professionals with legal, compliance, ethics, operations and management responsibilities

Suggested Skill Level: Advanced

Instructional Method: Group Internet-Based and Group Live

Pre-requisites for participation: No prerequisites are required.

Advance Preparation: None

Continuing Education Credits:

NRS Continuing Education Guide
Recommended CPE Credit: 2
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2