WilmerHale Partner Stephanie Nicolas spoke at the 2026 SIFMA C&L Northeast Regional Seminar, held September 16 at New York Law School. The one-day program brings together compliance and legal professionals from across the capital markets to discuss regulatory developments, share practical perspectives, and connect with peers facing similar challenges across broker-dealers, asset managers, and wealth management firms.

Stephanie served as a panelist in the discussion "Maintaining Your Agency – Privacy, Supervision, and Regulatory Considerations for the Use of Agentic AI." The session explored the supervision and control frameworks firms need when delegating work to autonomous agents, including monitoring and testing to manage hallucinations and the use of escalation and override mechanisms. Panelists also discussed SEC and FINRA expectations and Regulation Best Interest implications, the emergence of state-level AI laws, privacy and data protection risks such as vendor oversight and the use of client data, and firms' books and records obligations.