This two-hour IAR CE-eligible ethics program, led by RIA lawyer Richard Chen, examines the ethical, regulatory, and supervisory risks arising from the use of artificial intelligence (AI) tools in advisory practice. Investment adviser representatives will explore how commonly used AI applications—such as large language models, AI meeting notetakers, and content-generation tools—can create heightened risks related to client confidentiality, accuracy of advice, marketing compliance, and recordkeeping.
Through practical examples and realistic case studies, participants will evaluate how improper AI use may lead to violations of fiduciary duty, Regulation S-P obligations, advertising standards, and books-and-records requirements. The course emphasizes the ethical responsibility of advisors to understand, supervise, and critically evaluate AI-generated outputs, reinforcing that human judgment and professional oversight remain essential when integrating AI into client-facing activities.
*CE/CPE Eligible: 2.0 CE credit(s) is(are) available to FEN Members with these designations: CFP, CLU, CHFC, RICP, IAR.
Field of Study: Specialized Knowledge
Prerequisites: There are no prerequisites for this session.
Advanced Preparation: None
Program Level: Basic
Delivery Method: Group Internet Based
NASBA Approved
Financial Experts Network (Sponsor Id#: 145173) 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.nasbaregistry.org.
Since graduating from Harvard College and Harvard Law School, most of Richard's 25-year-plus career has been spent at some of the top multinational law firms in the world, cultivating the legal and business knowledge, experience, judgment and industry relationships that have helped his firm, Brightstar, become one of the preeminent RIA law firms serving the investment advisory community.