compliance
Every cited answer on compliance.
compliance
4 articlesDoes the SEC Marketing Rule cover AI-generated content?
Yes — the Marketing Rule is about what you communicate to clients and prospects, not how you drafted it. AI-written marketing is held to the same substantiation and fair-and-balanced standards as anything else.
What records must an RIA keep when AI informs a recommendation?
The same records you'd keep for any advice that forms the basis of a recommendation — plus the practical reality that AI output needs to live in a retainable system, not a consumer chat history.
How do I check a client's portfolio for drift from their IPS?
Compare current allocations and concentrations against the bands written in the investment policy statement — and do it on a schedule, not just at the annual review, so breaches surface the same day instead of next quarter.
Can I use AI to research client investments and stay compliant?
Yes — if the AI cites its sources and the work is retained as a record. The compliance risk isn't AI itself; it's using a tool that can't show its sources or keep a books-and-records trail.