Legal and Regulatory Considerations of AI in Finance
Includes a Live Web Event on 02/26/2025 at 1:00 PM (EST)
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Join us for an in-depth session exploring the evolving legal and regulatory frameworks shaping the adoption of Artificial Intelligence in asset and wealth management. This webinar will deliver a comprehensive overview of key compliance issues, data privacy concerns, and the regulatory landscape influencing AI integration. Gain actionable insights to help your organization navigate these challenges effectively, mitigate risks, and ensure alignment with evolving industry standards.
Learning Outcomes:
- Understand the current regulatory landscape for AI in finance and its implications for asset and wealth management.
- Identify key data privacy and security considerations related to AI adoption.
- Learn practical strategies to address compliance challenges and manage risks in an AI-driven environment.
- Explore best practices for integrating AI while ensuring alignment with legal and regulatory requirements.
Target Audience:
• Asset and Wealth Management Professionals
• Investment Managers and Analysts
• Compliance and Risk Management Professionals
• IT and Technology Leaders in Financial Services
• Business Strategists and Decision Makers
• Anyone interested in leveraging AI for business growth and efficiency
This program is co-hosted by the Nicsa Webinar Working Group.
CPE Credits Redeemable with NASBA
Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.
Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.
CPEs Earned: 1
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based
Advanced Preparation: None
CE Credits Redeemable with Investments & Wealth Institute™ (IWI)
Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.
To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf.
The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.
CPEs Earned: 1
Continuing Education Topic: Governance and Regulations
Program Format: Live Webinar
CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org
Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy
Pam Gelormini
Occupation Director of Compliance
MFS Investment Management
Pam Gelormini is a Vice President, Director of Compliance and Privacy Officer of MFS Investment Management® (MFS®). She is responsible for MFS' employee conduct, US Funds and Advisor compliance programs, privacy and records management programs, compliance education, regulatory exam oversight and the development of compliance monitoring and testing plans. Pam has over twenty-six years professional experience at MFS working in roles within corporate insurance, risk management and compliance, assisting with the design and implementation of various compliance and risk management programs. Pam received a Bachelor of Science degree in Business Administration with a concentration in Finance from Sacred Heart University. She is also a Certified Information Privacy Professional in the US (CIPP/US) with the International Association of Privacy Professionals.
Rosa Licea-Mailloux (Moderator)
Head of Compliance Americas; Chief Compliance Officer - MFS Funds
MFS Investment Management
Rosa Licea‐Mailloux is a vice president and head of compliance, Americas, at MFS Investment Management® (MFS®). She is also the chief compliance officer of the MFS Funds. In this role, she oversees all aspects of compliance for MFS investment products distributed throughout the Americas, collaborating with various groups across MFS to ensure all regulatory requirements are met and adhered to across the firm's various distribution channels.
Rosa joined MFS in 2018 as a director of corporate compliance and was named to her current role in 2022. Previously, she worked at Natixis Investment Managers for over 14 years, holding several roles in the firm’s legal and compliance groups, including chief compliance officer for the Loomis
Sayles Funds, Natixis Funds and Natixis ETFs and senior vice president and deputy general counsel for Natixis Investment Managers – US Distribution. She began her career in financial services in 2001 as a compliance specialist with Putnam Investments.
Rosa earned Bachelor of Arts degrees in biology and economics from Boston University, a Juris Doctor degree from the Northeastern University School of Law, and an MBA from UNC Kenan-Flagler Business School. She is an adjunct professor of financial sector compliance at New England Law | Boston.
Joanne Kane
Senior Director, Operations and Transfer Agency, ICI
Joanne Kane is the Senior Director of Operations and Transfer Agency of the Investment Company Institute (ICI). Ms. Kane joined ICI in 2013 and is responsible for facilitating transfer agent initiatives with industry stakeholders, and collaborating with stakeholders to pursue and achieve related regulatory, legislative, and public policy goals. Ms. Kane has over 30 years of experience in the financial services industry, including extensive knowledge of transfer agency and compliance. Prior to joining ICI, Ms. Kane served as Vice President of Transfer Agent Governance and Administration for Columbia Management Investors Services, Corp. Earlier in her career, she served as Assistant Vice President of Transfer Agent Compliance with IXIS Asset Management Services. Ms. Kane graduated Magna Cum Laude from Providence College with a BS degree in finance.
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