AI Note-Taking Tools: Compliance Insights for Investment Advisers

July 24, 2025 from 2:00 PM to 3:00 PM (ET)

Join the IAA and K&L Gates for a webinar on the use of generative artificial intelligence (GenAI) by investment advisers. Our discussion will highlight regulatory considerations for advisers that are incorporating GenAI into their business, focusing on the use of AI note-taking tools. We will consider how existing compliance requirements apply to GenAI, along with key risks and best practices for GenAI governance. We will also explore the current regulatory approach to GenAI and expectations for SEC rulemaking and examination priorities.

If you have questions about this webinar or need help registering, please contact Mary Kanda at mary.kanda@investmentadviser.org.

Webinar Speakers

Jennifer L. Klass is a partner in K&L Gates’ New York office and a member of the firm’s Asset Management and Investment Funds Practice. She is an experienced financial services regulatory lawyer with particular focus on investment adviser regulation and the convergence of investment advisory and brokerage services. Klass counsels clients on a wide range of federal and state securities matters, including fiduciary duty and conflicts of interest, disclosure and internal controls, advertising and marketing, SEC examination and enforcement actions, and transactions involving regulated entities. She is a leading practitioner in digital investment advice and the use of FinTech in the asset management industry and frequently assists clients in developing and offering innovative new products and services and the consideration of emerging regulatory issues. Klass earned a B.A. from Lehigh University, magna cum laude, and a J.D. from Widener University School of Law.

Pablo Man is a partner in K&L Gates LLP’s Asset Management and Investment Funds practice. Man counsels investment advisers ranging from emerging managers to large global firms on all aspects of their operations, including on regulatory matters and SEC examinations. Among other things, he guides clients on matters relating to custody, recordkeeping (including electronic records), trading, principal and cross-transactions, best execution, performance advertising, fiduciary duty and conflicts. Man also has a significant practice counseling clients with respect to incorporating generative AI into their advisory business. He earned a B.A. from University of Virginia and a J.D. from Suffolk University Law School, magna cum laude.

Chris Valente is a commercial disputes partner in K&L Gates’ Boston and Washington, D.C. offices. He co-leads the firm’s AI Solutions Group, which has been charged with the firm’s strategic approach to AI internally and externally for our clients. Valente also serves on the firm’s innovation committee. As a seasoned litigator, he leverages his passion for innovation and broad ranging experience to work with clients to understand, manage, and mitigate legal risks across commercial disputes in the financial services, construction and infrastructure, manufacturing, and tech and biotech sectors. He earned a B.A. from Tufts University, cum laude, and a J.D. from Boston University School of Law, cum laude.

Sanjay Lamba is associate general counsel at the IAA. Prior to joining the IAA, Lamba worked at SEC headquarters for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University.

You are now leaving Investment Adviser Association

The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.

You will be redirected to

Click the link above to continue or CANCEL