AI Compliance

Mini Case Study: How One Innocent ChatGPT Query Triggered a Compliance Issue The “Helpful” ChatGPT Background: A mid-level advisor at a growing RIA was struggling to create a follow-up email after a complex client meeting. To save time, he pasted his rough notes into ChatGPT. He didn’t include full client names or account numbers — just: Age range Investment goals Planning issues Portfolio structure Risk tolerance A summary of the client’s concerns ChatGPT generated a clean,

A 5-Point Safety Checklist Every Financial Advisor Needs AI can be a massive efficiency booster for financial advisors, but only if it’s used responsibly. The reality is this: AI doesn’t create compliance risk… improper use does. After 20+ years in wealth management and fintech, I’ve seen advisors hesitate to adopt AI because they’re afraid of the regulatory gray areas. But the truth is, you can  use AI safely, effectively, and in full alignment with your firm’s requirements.