Events | 10-22-26
Live Program - Shadow AI: How to Govern the AI You Don’t Know Is There
AI is already inside most financial firms. It comes in through features added to tools the firm already pays for, through new AI vendors, and through public chat tools employees use without approval. When a firm can’t see that use, it can’t supervise it.
In this complimentary webinar, Bates Group’s Kurt Wachholz and Antonio Rega join Sid Yenamandra of SurgeONE.ai for a practical look at where hidden AI lives, where the real risk sits, and what effective governance looks like.
Date: Friday, November 6, 2026
Time: 2:00 p.m. ET
Key Insights:
- Where AI already lives in your firm. How AI enters through vendor platform updates, new AI vendors, public chat tools, and shadow AI, and why the use no one can see is the hardest to govern.
- The risks beyond data privacy. Inaccurate output, data moving in both directions, prompt injection, unmanaged AI agents, and AI-enabled impersonation and phishing.
- Who is responsible when an AI vendor mishandles client data. How the SEC’s amended Regulation S-P places breach response and vendor oversight on the firm.
- Why employees hide AI use. How clear permission, clear limits, and a simple way to raise new tools move hidden use into approved use.
- What to put in place first. A practical starting list: an AI inventory, an acceptable use policy, vendor AI due diligence, training, monitoring, incident response updates, and reporting to leadership.
Have a question for the panel? Submit it when you register, and the speakers will address as many as time allows. All registrants will receive a copy of the presentation deck and the replay link.
About Bates Group
Bates Group helps broker-dealers, RIAs, and other financial service institutions reduce risk and meet regulatory expectations through compliance consulting, regulatory support, and expert litigation services.
About SurgeONE.ai
SurgeONE is an AI-native compliance, cybersecurity, and data platform built specifically for regulated financial firms, such as Registered Investment Advisors (RIAs) and broker-dealers.