• videocam Live Webinar with Live Q&A
  • calendar_month October 22, 2026 @ 1:00 PM ET/10:00 AM PT
  • signal_cellular_alt Intermediate
  • card_travel Corporate Finance
  • schedule 90 minutes

Asset Managers and AI Integration: Legal and Regulatory Essentials

Fiduciary and Supervisory Obligations; Vendor Selection and Diligence; Privilege Waiver, Confidentiality, Litigation Exposure

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About the Course

Introduction

This CLE course will examine the legal risks asset managers face when deploying AI. The panelists will explain how fiduciary duties and Regulation S-P apply to AI use, how to manage AI vendor risk, and how inputs into AI tools can compromise confidentiality, waive privilege, and create litigation exposure. Attendees will learn how to build a defensible AI governance framework to support risk-conscious AI deployment.

Description

As asset managers integrate AI across their operations, regulators and litigants are paying close attention. Although the SEC has withdrawn its predictive data analytics proposal, it continues to evaluate AI use under fiduciary duty and supervisory principles. Regulation S-P adds specific obligations when client information flows through AI tools. The 2024 amendments require written oversight of service providers and incident response programs. Together, these make vendor selection, diligence, contracting, and ongoing oversight central to an asset manager's compliance posture.

Entering confidential information into AI tools can expose client data, MNPI, and IP. It can also risk privilege waiver. AI-generated call and meeting transcripts may become discoverable in civil and regulatory matters, adding to private litigation and class action exposure.

Listen as our authoritative panel examines these risks and explains how asset managers can build a defensible AI governance framework. The panel will cover policies, assessments, vendor oversight, and disclosures tailored to actual AI use.

Credit Information

  • This 90-minute webinar is eligible in most states for 1.5 CLE credits.


  • Live Online


    On Demand

Date + Time

  • event

    Thursday, October 22, 2026

  • schedule

    1:00 PM ET/10:00 AM PT

I. Fiduciary duties and supervisory obligations when using AI

II. Regulation S-P: safeguarding client information in AI tools, including service provider oversight and incident response under the 2024 amendments

III. Vendor risk management: diligence, contract protections, and ongoing oversight of AI providers

IV. Confidentiality: client data, MNPI, and IP exposure from inputs into AI tools

V. Privilege waiver and litigation risk: AI-generated transcripts, discoverability, and private and class action exposure

VI. Building a defensible AI governance framework: policies, assessments, and disclosures tailored to actual use

The panel will review these and other key issues:

  • How do fiduciary and supervisory obligations apply to asset managers' use of AI?
  • What does Regulation S-P require when client information flows through AI tools and vendors?
  • What diligence and contract protections should asset managers require of AI providers?
  • When does AI use risk privilege waiver, confidentiality breaches, or litigation exposure?
  • What are the key elements of a defensible AI governance framework?