An Introduction to Artificial Intelligence for Investment Management Firms

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Artificial Intelligence (AI) is disrupting every sector. In the investment management industry, it can lead to significant benefits for customers, firms and markets, whether in connection with robot advisory services, sales and distribution, portfolio management, trade execution or regulatory compliance. However, AI also has the potential to result in significant harms including data bias and security risks and can give rise to a number of governance and ethical challenges.

This workshop provides an introduction to AI for investment management firms. Through case studies, we will consider some of the applications of AI in the investment management sector and explore what the future may hold. We will examine some of the main risks arising out of AI, the current approaches to regulating AI and what questions firms should be asking when deploying AI-driven solutions.

Key Learning Objectives

• Understand the key terms and concepts used in AI
• Gain an awareness of the principal applications to date of AI in the investment management industry
• Understand the risks associated with AI
• Gain an awareness of regulatory initiatives relating to AI in the UK, EU and internationally
• Understand the principal legal and regulatory factors investment management firms should take into account when considering the use of AI-driven solutions

Contact the IA Training Team to ask questions regarding any of the courses we run, or if you are experiencing problems or difficulties when attempting to register, please email: Training@theia.org

09:30 Overview of AI, machine learning and data techniques and why there has been an increase in the use of AI in financial services

09:50 Case study 1: AI in robo advice

10:10 Risks of AI

10:20 Questions for firms (1): Competition, data, and ethical considerations

10:35 Case study 2: AI in sales and distribution

10:45 Regulatory initiatives relating to AI in the UK, EU and internationally

11:00 Break

11:20 Case study 3: AI in portfolio management and trade execution

11:30 Questions for firms (2): Outsourcing, operational resilience and SMCR requirements

11:45 Case study 4: AI as a tool for regulatory compliance

12:00 Questions for firms (3): Compliance with the Consumer Duty

12:15 Interactive exercise to revise topics covered

12:30 Close and networking

This training course is run under the Chatham House Rule, for reference please see here.

This course is an introduction to AI for investment management firms.  Given the rapid growth of AI, the course will be of interest to front, middle and back-office functions such legal, compliance and HR.

Daniel Hirschfield

Daniel Hirschfield is Senior Counsel – Knowledge in the Financial Services Regulatory Group at Taylor Wessing. He has significant experience in advising businesses across the investment management sector on UK and European regulatory requirements and is a core member of the firm's digital assets team.

Taylor Wessing has deep knowledge of the technology sector and has expertise in advising on AI products – see our dedicated AI webpage.

IA Member £395.00 +VAT
Non-Member £545.00 +VAT

Pay using a credit card online, or if you wish to be invoiced please email your full details to: Training@theia.org

PLEASE NOTE: Full payment for the course must be made prior to the course commencement date.

• Any cancellation must be made in writing.
• For all cancellation received 15-30 days prior to the course start date, 50% of the course fee is still payable.
• No refund is given for a cancellation made 14 days or less prior to the commencement of a course.
• Transferring from one course to another is treated as a cancellation. You can substitute one delegate for another at no additional cost. In this instance, please give two business days’ notice.

Hybrid Training Courses:

Hybrid deliveries of our training allows participants on our courses the option to attend in-person here from our offices at Camomile Court, or you can attend virtually via MS Teams.

Please be advised a training course could change from hybrid delivery to solely virtual delivery. In such an event, we will inform delegates at least one week prior to the course delivery date.

There are a limited number of in-person spaces available on this course and this will be allocated on a first come first served basis.