As generative AI becomes part of the modern RIA workflow, so too does the responsibility to manage its use through the lens of fiduciary duty, cybersecurity, and regulatory compliance. This module is built for firm leaders and compliance professionals seeking to establish responsible, defensible, and auditable AI use frameworks.

Objective

To empower compliance officers, firm executives, and technology leads to design and enforce firmwide AI governance structures that meet SEC expectations, protect client data, and foster a culture of responsible innovation.

Learning Outcomes

By the end of this module, learners will be able to:

• Identify the regulatory risks associated with AI use (e.g., SEC Rule 204-2, Reg S-P, Marketing Rule)

• Draft or revise an internal AI use policy tailored for fiduciary firms

• Conduct a baseline AI vendor due diligence review

• Apply human-in-the-loop supervision and recordkeeping to AI-assisted outputs