Risks associated with emerging technologies such as ChatGPT and deepfakes encompass jailbreaks and prompt injections, necessitating robust remediation strategies. The integration of AI in surveillance practices underscores enhanced threat detection capabilities while emphasizing the need for proactive risk management and mitigation protocols.
This panel, moderated by Lowenstein partner Rachel Maimin during the Compliance Week Financial Crimes and Regulatory Compliance Summit, will discuss cybersecurity concerns that exist in the securities markets, including account takeovers, as well as the role of AI and machine learning with respect to compliance programs. The panel will also discuss the prevention of manipulative trading strategies.
Topics of discussion:
- Surveillance best practices
- What risks come with ChatGPT, generative AI, and deepfakes
- How FINRA is advancing/enhancing its detection methodologies in light of new tech developments
Moderator:
- Rachel Maimin, Partner, Lowenstein Sandler LLP
Speakers:
- Gene DeMaio, Head of Regulatory Services, FINRA
- Bill Corson, Chief Compliance Officer, PineBridge Investments
- Adewale Ayantoye, VP Commercial Risk Management, Flutterwave
Time: 9:15-10:15 a.m. ET
Location: Fordham University School of Law, 150 W 62nd Street, New York, NY 10023
*This event is open to the public but requires a registration fee.
