Generative AI Application in Wealth Management

CPT/CE Eligibility (A Recognized CPT Provider)

(CODE: 250115LU-CEX)

The landscape of wealth management is rapidly evolving with the integration of generative AI. In this talk, we will explore real-world applications of generative AI in investment and wealth management sectors. We will start by building a foundational understanding using concepts from linguistics and communication theory & build a theoretical framework of how Large Language Models (LLMs) are expected to work in different communication contexts. Next, we will discuss current and future use cases of LLMs and evaluate their feasibility using the theoretical framework. We will also review the regulatory landscape, focusing on guidance from key regulatory bodies like MAS and SFC. Finally, we will tie everything together & share practical strategies for adopting Generative AI for maximum impact in a regulated environment, including lessons learned from Endowus’ own experiences in deploying these solutions.

Agenda

1. Introduction
   • Overview of Generative AI
2. Case Study: GenAI at Endowus
   • Internal & External use cases
3. Language, Communication Theory & Large Language Models
   • Primer from linguistics & communications theory
   • Theoretical framework for contexts in which LLMs operate
4. Use Cases today and in the Future
   • Near-term & long-term use cases in investment & wealth management
   • Feasibility analysis using the theoretical framework
5. Regulatory Landscape
   • Guidance from MAS, SFC, and other regulators on use of Generative AI
6. GenAI Adoption
   • Strategies for adopting Generative AI
   • Risk assessment and testing
7. Q&A Session
   • Open floor for questions and discussion

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About the Speaker

Deepak Sarda
Chief Technology Officer
Endowus

Deepak Sarda is the Chief Technology Officer at Endowus, Asia’s leading digital wealth platform. 

With over 20 years of experience in diverse domains including financial services, enterprise software, and cloud computing, Deepak leads the design, development, and operations of Endowus’ multi-award winning investment platform and the highly skilled technology team behind it. 

Since joining Endowus, he has spearheaded numerous successful initiatives, including the incubation of Endowus’ first overseas tech office in India, delivery of a complex cloud migration, and transforming the tech org to a cross-functional structure. He plays a pivotal role in building and organising teams, systems, and processes that have enabled several business milestones including the launch of Endowus in Hong Kong. 

Deepak joined Endowus from Amazon Web Services (AWS), where he was the Head of Developer Solutions Architecture for ASEAN, helping software developers build cloud native, scalable applications on AWS. 

Prior to this, Deepak spent over a decade in the financial services industry, including at JPMorgan Chase & Co, where he was the Global Lead for Observability & Chaos Engineering Services within the Platform Services group, and at Citibank in the Equities Technology group. Deepak started his career researching machine learning algorithms at A*Star (BII), then moved on to developing middleware systems at computing industry pioneer Borland Software before joining a big data startup as its first employee. 

Deepak holds a Bachelor of Technology in Aerospace Engineering from the Indian Institute of Technology Madras and a Master of Science in High Performance Computing for Engineered Systems from the National University of Singapore.

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CFA Societies Global Passport Program

CFA Society Hong Kong has participated in the CFA Societies Global Passport Program which allows CFA society members to enjoy local society member rate at selected events like this luncheon.  Members of non-CFA Society Hong Kong CFA Institute societies qualify to attend this event at CFA Society Hong Kong member rates.  Please contact CFA Society Hong Kong at events@cfahk.org to register.

Remarks:

• Registration is requested, please register on or before Mon, 13 Jan 2025.
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• Participants will be entitled to receive CPT Attendance Letter at NO extra costs after attending the FULL webinar. To qualify for CPT/CE hours, all participants must attend the full webinar. After the webinar, Society staff will verify participants’ check-in and check-out time from the registration system for the purpose of issuing CPT Attendance Letters. No pro-rata credit hours will be awarded.
• CFA Societies Global Passport Program Eligible.
• The event will be conducted in English.
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