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The State of Legal & Compliance AI Survey: Findings & Insights

September 17, 2026 from 12:00 PM to 1:00 PM (ET)

Artificial intelligence is no longer a future consideration for legal and compliance teams at investment adviser firms – it is already here. But how widely is it being adopted? Where is it delivering value? And what are the governance, regulatory, and implementation challenges that firms are actually encountering?

The IAA and Norm Ai present the findings of the State of Legal & Compliance AI Survey, examining how registered investment advisers are integrating AI into their legal and compliance functions.

In this live webinar, IAA staff and Norm Ai experts will walk through the survey results, provide context and analysis, and discuss the practical implications for compliance programs of all sizes, from first steps to advanced implementation.

By attending, participants will leave with:

  • A clear picture of where the industry stands on AI deployment in legal and compliance, including which use cases are gaining traction fastest and which remain nascent
  • An understanding of the top governance and regulatory concerns firms are navigating when deploying AI, and how peers are addressing them
  • Practical benchmarks to assess your own firm’s AI readiness and compare your approach to firms of similar size and structure
  • Insight into the regulatory landscape: what the SEC and other regulators are saying about AI in compliance — and what that means for your program today
  • Actionable guidance from Norm Ai on how to build a sustainable, compliant AI framework within your legal and compliance function
Register Now

If you have questions about this webinar or need help registering, please contact Mike Zapata at mike.zapata@investmentadviser.org.

Webinar Speakers

Tori Patton is the head of client engagement at Norm Ai, where she leads strategic relationships with the world’s most sophisticated regulated institutions, overseeing a client base that collectively manages over $3 trillion in assets. She brings deep expertise in enterprise client success to the role, having previously served as director of customer success at Comply and director of account management at illuminis. She holds a bachelor’s degree in communications and media studies and a master’s degree in integrated marketing communications from Florida State University.

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.

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