Protecting client financial data, meeting regulatory duties, and using AI responsibly in financial services
This program is undergoing final review by practitioners in the field. Enrollment opens once review is complete.
Certificate of completion upon passing · 5 modules · ~2 hours
A structured program covering AI risks to client financial data, SEC and FINRA regulatory obligations, fiduciary duty, and responsible AI use for advisors, accountants, and financial firm staff.
What happens to the information you type, why incognito mode does not protect client data, how AI generates text, and why hallucinated figures are a structural risk.
Nonpublic personal information, safeguarding obligations, suitability and fiduciary duty, and recordkeeping and communications supervision.
Knowing which tools are approved, when removing detail works, verifying figures, and a four-step go/no-go framework.
Hallucinated figures, automation bias, misleading communications and marketing, and evolving regulatory expectations.
Firm AI policy components, governance roles, supervision and retention, training, and incident response.
25 questions across all five modules. 80% required to pass. Certificate of completion with unique verification number issued upon passing.
Certificate of completion included at every tier.
Organizations with more than 50 staff: contact us for volume pricing.
Emmanuel Rodriguez, MD
Anesthesiologist
Every scenario in this program is drawn from real clinical and administrative workflows. Every risk framework is grounded in actual regulatory requirements. This is practitioner-authored education — not a vendor's interpretation.
This program provides workforce education on AI-related risks in healthcare settings. It does not constitute legal advice, regulatory guidance, or a guarantee of regulatory compliance. Organizations should consult qualified legal counsel for compliance determinations.