Webinar AI in Financial Services: A Legal, Regulatory, and Enterprise View
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Webinars

Red Oak Insights | AI in Financial Services: A Legal, Regulatory, and Enterprise View 

July 16, 2026

2:00 PM CT / 3:00 PM ET

Former SEC and NASD (now FINRA) counsel. A Global Head of Distribution Compliance. A Chief Technology Officer. A Compliance Technology Exec. On July 16, legal, regulatory, enterprise, and technology perspectives will converge on one question: what does responsible AI require? If you're in distribution, this conversation is for you.

Panel:

Moderator:

You'll learn how:

  • Distribution teams are navigating the intersection of AI, content review, and compliance oversight — and what leading firms are doing to stay ahead of the curve.
  • The accountability gap between AI adoption and compliance oversight is forming across the enterprise, including in distribution and marketing functions.
  • Former SEC and FINRA counsel and enterprise compliance practitioners are thinking about AI risk today, and what that signals for where regulatory expectations are heading.

Register Today!