Topic
recordkeeping
Every cited answer on recordkeeping.
recordkeeping
2 articlescompliance
compliance
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.
Jun 11, 2026 · 1 min
ai
ai
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.
Jun 11, 2026 · 2 min