CPD Seminar · Technology & AI
Artificial Intelligence in Financial Services
Opportunities, risks and the rules firms must apply: AI Act, MiFID II, GDPR, DORA and AML
- Duration
- 3 hours
- CPD hours
- 3
- Level
- Intermediate to advanced
- Delivery
- On request – in person or online
- Fee
- Upon request
- Edition
- October 2026
Overview
A clear, non-technical guide to how AI is used across investment firms, brokers and CASPs, from trading and surveillance to AML. The seminar covers the risks it introduces and the regulatory framework that now applies. It closes with a practical governance toolkit that firms can implement straight away.
Who should attend
- Directors and senior management
- Compliance and risk officers
- IT, data and product teams
- Anyone deploying or procuring AI tools
Learning objectives
- 01Explain what AI, machine learning, deep learning and generative AI are, and how they differ from rule-based systems
- 02Identify where AI is used across an investment firm, broker or CASP
- 03Recognise the main AI risks: bias, opacity, hallucination, concentration, cyber attack and AI-enabled fraud
- 04Apply the EU AI Act: risk categories, prohibited practices, high-risk uses in finance, deployer duties and timelines
- 05Apply ESMA's MiFID II expectations, GDPR rules on automated decisions, DORA and AML obligations to AI tools
- 06Set up practical AI governance: inventory, classification, oversight, vendor due diligence and staff rules
Programme
Module 01
Understanding AI
Definitions, learning methods, generative AI and agents
Module 02
AI in the financial firm
Use cases, EU evidence, AML, trading and surveillance
Module 03
Risks
Bias, explainability, hallucination, concentration, AI-enabled crime
Module 04
Regulation
AI Act, ESMA and MiFID II, GDPR, DORA, AML, international view
Module 05
Governance in practice
Inventory, policies, vendors, staff use of generative AI
Module 06
2025–2026 updates and knowledge check
Digital Omnibus, CySEC C786, ESMA evidence; 10 questions
Case studies covered
Latest updates included
The Digital Omnibus amends the AI Act
Regulation (EU) 2026/1744
CySEC on AI: surveys, priorities and cyber threats
C709, C786
ESMA evidence and supervisory expectations
February–March 2026
Assessment and certificate
The session closes with a 10-question knowledge check. Participants who attend the full session and complete the check receive a certificate of completion from Kyvos Capital Ltd, recording 3 hours of training.
Your trainer
Yiannis Georgiou
HRDA-Certified Trainer – Level 5 (EQF/CyQF 5) · Αριθμός ΑνΑΔ: 55672
Executive and board director with more than 18 years in financial markets, spanning trading, dealing, portfolio management, risk, compliance and board-level governance. His seminars combine first-hand regulatory and AML responsibility with a quantitative, technology-driven approach.
Meet the trainerRequest this seminar
Available on request, in person or online. The fee is provided on request.
Seminars are delivered on request by Kyvos Capital Ltd, Limassol, Cyprus, and led by Yiannis Georgiou, HRDA-Certified Trainer – Level 5 (Αριθμός ΑνΑΔ: 55672). Fees are provided on request. Seminar content is provided for training purposes only and does not constitute legal, regulatory or investment advice.