--- title: Live Program - How to govern the AI you don't know is there --- [![logo\_head-foot 1](https://info.batesgroup.com/hs-fs/hubfs/logo_head-foot%201.png?width=242&height=47&name=logo_head-foot%201.png "logo_head-foot 1")](https://www.batesgroup.com) ![](https://info.batesgroup.com/hubfs/Frame%203.png) LIVE SESSION Shadow AI: How to Govern the AI You Don't Know Is There Fri, Nov. 6, 2026 at 2 PM ET/ 11 AM PST There’s still time left to register! Days Hours Minutes Seconds Register Now ![Webinar\_Shadow\_AI\_1](https://info.batesgroup.com/hs-fs/hubfs/Webinar_Shadow_AI_1.png?width=800&height=310&name=Webinar_Shadow_AI_1.png "Webinar_Shadow_AI_1") You Can’t Supervise What You Can’t See: Bringing Shadow AI Into the Open AI is already inside most financial firms. It comes in through features added to tools the firm already pays for, through new AI vendors, and through public chat tools employees use without approval. When a firm can’t see that use, it can’t supervise it. Join **SurgeONE.ai** and **Bates Group** for a practical look at where hidden AI lives, where the real risk sits, and what effective governance looks like. Examiners, boards, auditors, and clients are starting to ask how firms oversee AI. Existing obligations already apply, including supervision, books and records, marketing claims, and vendor due diligence. Firms without a clear answer face data exposure, supervision gaps, and findings that are harder to fix after the fact. The goal is not to shut AI down. It is to bring legitimate use into the open and govern it with confidence. **Key Insights:** - **Where AI already lives in your firm.** How AI enters through vendor platform updates, new AI vendors, public chat tools, and shadow AI, and why the use no one can see is the hardest to govern. - **The risks beyond data privacy.** Inaccurate output, data moving in both directions, prompt injection, unmanaged AI agents, and AI-enabled impersonation and phishing. - **Who is responsible when an AI vendor mishandles client data.** How the SEC’s amended Regulation S-P places breach response and vendor oversight on the firm. - **Why employees hide AI use.** How clear permission, clear limits, and a simple way to raise new tools move hidden use into approved use. - **What to put in place first.** A practical starting list: an AI inventory, an acceptable use policy, vendor AI due diligence, training, monitoring, incident response updates, and reporting to leadership. Every registrant receives the presentation deck and the replay link. Have a question about AI at your firm? Submit it when you register, and our panel will address as many as time allows. **Register today to save your spot.** ![People Icon](https://info.batesgroup.com/hs-fs/hubfs/image%209.png?width=34&height=34&name=image%209.png) Who Should Attend? - CCOs, COOs, and CFOs - Compliance Officers, Directors, and Managers - RIA Principals, Presidents, and Founders - Broker-Dealer Executives - General Counsel and legal teams - IT and information security leaders ![Money\_icon](https://info.batesgroup.com/hs-fs/hubfs/image%20(13).png?width=34&height=34&name=image%20(13).png) Designed for: - Financial Services Institutions - Broker-Dealers - Registered Investment Advisers (RIAs) - Hybrid Broker-Dealer / RIA Firms Meet our Speakers and Industry Experts ![Sid](https://info.batesgroup.com/hs-fs/hubfs/sid-final-clean.jpg?width=1254&height=1254&name=sid-final-clean.jpg) Sid Yenamandra Founder & CEO at SurgeONE.ai Sid Yenamandra is the founder and CEO of SurgeONE.ai and Surge Ventures, bringing more than 25 years of experience in cybersecurity, encryption, and technology for regulated financial firms. He previously co-founded Entreda, a leading cybersecurity software company acquired by Smarsh in 2020, where he served as Chief Customer Officer and helped drive the company's growth and acquisition strategy. Throughout his career, Sid has held leadership roles at Exar, Palo Alto Networks, and Memoir Systems, which was acquired by Cisco in 2014. He has extensive experience developing cybersecurity solutions, scaling technology businesses, and helping financial firms address evolving security risks. Sid holds degrees in Electrical Engineering and Computer Science from UC Berkeley, holds two software patents in cybersecurity risk scoring and hybrid cloud computing, and authored The AI Safety 101 Brief. ![Kurt Wachholz](https://info.batesgroup.com/hs-fs/hubfs/Imported%20sitepage%20images/kwachholz_crop_-_28de80_-_ac24a8a9ab8359ee4244c13662c1c4b23924e6fc.jpg?width=600&height=600&name=kwachholz_crop_-_28de80_-_ac24a8a9ab8359ee4244c13662c1c4b23924e6fc.jpg) Kurt Wachholz, IACCP Senior Managing Director at Bates Group Kurt Wachholz is a Senior Managing Director at Bates Group with more than 35 years of experience in the financial industry. Based in South Carolina, he works closely with firm officers to identify regulatory obligations, compliance risks, and program challenges through mock examinations, program reviews, and policy improvements. His expertise spans SEC and FINRA examinations, cybersecurity, business continuity planning, and third-party due diligence. Prior to joining Bates, Kurt served as Executive Compliance Consultant at Comply (formerly NRS), Director of Education overseeing the IACCP® designation program co-sponsored by the Investment Adviser Association, and as CCO for a financial services holding company.         ![Antonio Rega\_Oct2026](https://info.batesgroup.com/hs-fs/hubfs/Antonio%20Rega_Oct2026.jpeg?width=621&height=621&name=Antonio%20Rega_Oct2026.jpeg) Antonio Rega Managing Director at Bates Group  Antonio Rega is a Managing Director at Bates Group with over 20 years of experience in digital forensics, cybersecurity, eDiscovery, and information security. He specializes in complex investigations, data breach response, digital asset tracing, and the forensic analysis of electronic evidence. Antonio provides expert witness testimony in matters involving intellectual property theft, trade secret misappropriation, cryptocurrency fraud, and data privacy. His expertise also includes regulatory investigations, cybersecurity assessments, and artificial intelligence governance. Throughout his career, he has advised global corporations, law firms, and regulatory agencies on complex litigation, information security, and digital evidence matters.  --- ![Bates-Group-Logo-Horizontal-Color 1 (1)](https://info.batesgroup.com/hs-fs/hubfs/Bates-Group-Logo-Horizontal-Color%201%20(1).png?width=150&height=29&name=Bates-Group-Logo-Horizontal-Color%201%20(1).png) © 2026 Bates Group, LLC. All rights reserved. [Privacy Policy](https://www.batesgroup.com/privacy-policy) [Terms of Use](https://www.batesgroup.com/terms-of-use)