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

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 Compliance Technology Exec. On July 16, legal, regulatory, enterprise, and technology perspectives will converge on one question: what does responsible AI require?

Panel:

  • Brian Rubin (former SEC Enforcement & Deputy Chief Counsel of Enforcement at NASD, now FINRA — Eversheds Sutherland)
  • Derek Stern (Manulife | John Hancock)
  • Jamie Hoyle (MirrorWeb)

Moderator:

You’ll learn how:

  • To close the accountability gap between AI adoption and compliance oversight that organizations struggle with, and what that gap means for teams across distribution, legal, and operations.
  • 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.
  • Firms can evaluate AI vendors against compliance standards.
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