Investment advisors face rapid changes in technology, from artificial intelligence tools to Bitcoin and electronic communications. This episode features attorneys Joseph Antonakakis, Esq., Stephen Galletto, Esq., and Jeffrey Lang, Esq., who break down the compliance challenges and best practices for RIAs. Learn how AI note-taking tools impact privacy, attorney-client privilege, and Reg SP compliance. Discover why texting and off-channel communications can trigger SEC scrutiny, and how to keep all business-related messages on compliant platforms. The attorneys also discuss the rise of Bitcoin and crypto ETFs in client portfolios, emphasizing the importance of due diligence, client disclosures, and risk management. Key takeaways:

• Understand AI tools and their compliance implications
• Learn about texting, recordkeeping, and SEC audits
• Explore Bitcoin integration and suitability standards

Timestamps:

• 0:00 Intro
• 2:00 AI note-taking tools
• 8:30 Texting and electronic communications
• 13:20 Bitcoin and crypto ETFs

This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com