Audience: All roles
Goal: Establish shared understanding of what generative AI is—and isn’t
Topics:
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What is generative AI? (ChatGPT, Claude, Copilot, etc.)
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Why it matters for RIAs: Efficiency vs. Risk
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Fiduciary framing: Client-first AI use
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SEC & regulatory implications (SEC Marketing Rule, Reg S-P, Reg SCI)
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Key risks: hallucination, data leakage, unauthorized advice
Features
- Capstone
- CE-eligible
Target audiences
- RIA
- Wealth Management
