S Y M P O S I U M
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P R O G R A M
SMOOTH OPERATOR: THE COMPLIANT ADVISOR Protecting ourselves and our clients has become more important and more difficult than ever before. Given today’s sophisticated fraud technology and tools, the power of AI can assist fraudsters in everything from identity theft to ransomware of web servers. Not only is the playbook for compliance more rigorous, but it’s also more complex given what’s in an advisor’s control versus outside of control. How do we keep client privacy and data safe? Can we spot the trickery of AI by amplifying the human touch of advisors so that we focus on consumer and investor protection such as Fair Treatment of Customers? The good news is, what we can control is operating under a strong client-first, ethical and compliant practice. Exploring legal and regulatory impacts, we will discuss how to stay smart and stay safe together. In this session, our panelists will discuss how regulatory guidelines and advisor compliance practices can protect clients and advisors in the face of new risks.
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