Skip to content

TSAM in NYC highlights the potential of AI in compliance

The Summit for Asset Management, held in New York, explored how AI can be used to address the latest challenges in the regulatory environment.

I was pleased to represent Saifr at The Summit for Asset Management (TSAM) in NYC last week. TSAM targets asset managers, investment managers, wealth professionals, and advisors, providing an opportunity for the community to discuss the latest challenges as well as the evolving technology and regulatory landscape.

Last year I attended TSAM for the first time in my home city of Boston. At that event, a Saifr client was a panelist and talked about working with us. Given the interest from the audience last year, Saifr was excited to attend this year. A few members of our team traveled to NYC to staff our booth and be on stage. It was a great event that just so happened to be on Halloween, so though we didn’t wear our Halloween costumes, we did hand out Saifr candy.

My colleague Stu Schwartz and I hosted a roundtable discussion titled “Regulatory Roundup and AI Concerns.” There was great engagement and plentiful questions around how Saifr uses artificial intelligence (AI) to help address timely compliance concerns, including the SEC marketing rule and the SEC’s proposal on AI conflicts of interest with predictive analytics. Additionally, we fielded questions about how Saifr might support upcoming regulations such as those for ESG and crypto. Attendees appeared energized to learn about all the ways that AI tools like Saifr can help with some of their pain points.

Saifr’s co-founder and CEO, Vall Herard, was a speaker on the lively afternoon panel that included other industry thought leaders from Nuveen, Paradigm Asset Management, and Marathon Asset Management. The session discussed integrating generative AI and machine learning (ML) into businesses on a quest for alpha. Vall engaged the audience by breaking down and demystifying the confusion around some AI concepts. He also helped the audience understand how they might incorporate AI to increase efficiencies throughout their firms.

In addition to the sessions, we had a lot of traffic at the Saifr booth. It was great to see familiar faces from the NSCP National Conference, which was held in Dallas just a few weeks before. It was also wonderful to meet new folks and show them what we can do.

Overall, TSAM New York was a success.

Fidelity and any other third parties are independent entities and not affiliated. Mentioning them does not suggest a recommendation or endorsement by Fidelity.


Allison Lagosh

Head of Compliance
Allison currently serves as the Compliance Advisor and Director for Saifr within Fidelity Labs. She previously was a management consultant focusing on data validation and conversions, disclosure design, and regulatory expertise for the Saifr team. Allison has extensive experience in the financial services industry with various legal, compliance, risk, and marketing compliance positions. Most recently, she was a Vice President for State Street Global Marketing, where she led the Risk Management and Controls Governance Program and advised on Marketing workflow tool management. Allison also worked at various senior compliance and marketing manager positions at Columbia Threadneedle, MFS, and Fidelity Investments.

Check out our latest blogs

AI's future: We've seen this movie before

AI's future: We've seen this movie before

Discover how AI is following a similar path to cloud computing and has the potential to become an embedded part of our daily lives.

New Executive Order impacts the training and testing of trustworthy AI

New Executive Order impacts the training and testing of trustworthy AI

Learn how President Biden's executive order on AI aims to protect Americans from potential risks and what compliance officers can do in res...

Continuing Membership Application (CMA) – newly improved!

Continuing Membership Application (CMA) – newly improved!

Learn how FINRA's MAP transformation and specialized guidance can help you navigate the CMA process with more efficiency and sanity.