Description
This course examines emerging technology trends and their regulatory implications for investment advisers in 2026. Participants will explore developments in artificial intelligence, digital asset custody, electronic communications platforms, cybersecurity threats, client privacy/confidentiality considerations (Regulation S-P), held-away asset platforms (e.g., Pontera), and social media use/testimonials. The course addresses compliance considerations when adopting new technologies, including recordkeeping obligations, supervision challenges, and vendor due diligence requirements. Attendees will gain practical knowledge to evaluate technology solutions while maintaining regulatory compliance and protecting client data.
Learning Objectives
Identify current technology trends affecting investment advisory practices including AI, crypto assets, and communication platforms Evaluate regulatory requirements and compliance risks associated with implementing new technologies Apply appropriate due diligence procedures when selecting and monitoring technology vendors Describe recordkeeping and supervision obligations related to electronic communications and AI-assisted tools Recognize cybersecurity threats and implement protective measures to safeguard client information Assess the regulatory treatment of digital assets and emerging custody solutions
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