Private Funds in the Age of Super Intelligence: A Regulatory Perspective with Brian Daly
Event Details
Seward & Kissel, AIMA, and UBS are pleased to welcome Brian Daly, Director of the SEC’s Division of Investment Management, for a fireside chat examining how the Division is approaching the rapid evolution of AI across the asset management industry. Brian will be joined by Craig Warkol, Partner, Seward & Kissel and Orville Thomas, Executive Director, UBS, for a discussion on the opportunities and challenges presented by next-generation AI technologies and the regulatory considerations they raise for private fund managers.
Topics will include:
- The Division’s perspective on the growing use of AI throughout the investment management ecosystem
- Fiduciary duties, supervision, governance, and accountability in an AI-enabled environment
- Emerging regulatory priorities and areas of focus for investment advisers
- Constructive engagement between industry participants and regulators as the technology continues to evolve
The fireside chat will be preceded by a panel discussion, “Trust, but Sandbox: Preparing for AI Agents in Investment Management,” examining the opportunities and emerging risks associated with AI agents that can act on a user’s behalf by sending emails, completing forms, and working across applications. Most investment managers keep them out of the workplace for now, but few expect that to last, and some firms are already building confidence by testing agent tools in controlled environments.
This panel brings together perspectives from technology, an investment manager, and law enforcement to consider what COOs, CCOs, and GCs need to know before agents reach the desk. The discussion will cover what agents can do today, the risks firms face from both their own staff’s use of personal agents and from bad actors using the same tools, and how leadership can balance enablement with control.
Agenda:
- 2:30 PM | Registration and check-in
- 3:10 PM | Panel: Trust, but Sandbox: Preparing for AI Agents in Investment Management
- 4:00 PM | Fireside chat with Brian Daly
- 5:00 PM | Reception
