Securities Regulation and Enforcement Series - From Innovation to Oversight: AI in the Investment Adviser Industry

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Brief Encounters

D.C. Bar Communities Office

143 episodes

3 days ago

Listen in for exclusive interviews and conversations with D.C. Bar members and guests about hot topics! To learn more about D.C. Bar Communities, join a community, and/or register for upcoming programs, visit www.dcbar.org/communities Presented by the D.C. Bar Communities Podcast Network. Other network channels include "The Tea on International Arbitration" with the D.C. Bar International Law Community (anchor.fm/DCBarTea) and "Let's Brief It" with the D.C. Bar Law Student Community (anchor.fm/DCLSC). Theme Music: "If" by Broke for Free

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Securities Regulation and Enforcement Series - From Innovation to Oversight: AI in the Investment Adviser Industry

Brief Encounters

26 minutes 39 seconds

6 months ago

Securities Regulation and Enforcement Series - From Innovation to Oversight: AI in the Investment Adviser Industry

In this episode of Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, joins William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, for a timely conversation with Kate Ring, Chief Compliance Officer at Stash Financial. Stash is a fintech platform serving over 1.3 million customers with $4.1 billion in assets under management (AUM) - on a mission to help everyday Americans invest and build better financial futures.

Building on our June episode regarding artificial intelligence (AI), this conversation examines how AI is reshaping the investment adviser industry—spotlighting key opportunities, emerging risks, and what effective oversight entails. A key takeaway: while AI has the potential to significantly boost efficiency, it must be carefully supervised to ensure it supports - not replaces - human judgment. The goal is AI-assisted human efficiency.

Kate shares practical insights from her experience overseeing compliance and risk across Stash’s diverse business lines, offering guidance for CCOs on how to effectively understand and supervise the use of AI tools. Her advice focuses on supporting responsible implementation that aligns with both business objectives and regulatory expectations.