AI Moves Fast. Compliance Needs to Keep Up.
If you’re leading compliance at a lean RIA, you’re already wearing too many hats. Now AI adds another one that moves fast and introduces real regulatory risk. Tools like ChatGPT, Zoom AI, and Copilot are already generating business communications. And under SEC Rule 204-2, that makes them records, records your firm is responsible for capturing, retaining, and supervising.
The problem? Most AI tools weren’t built with compliance in mind. And if you’re outsourcing IT or even doing it yourself, that could create a regulatory gap, and that gap puts you on the hook. But you don’t need a big team to close it, just clarity, smart questions, and a shared strategy.
This guide is built for small teams doing big jobs. We show you how to work with IT (even if it’s part-time or outsourced), implement oversight that sticks, and stay ready for whatever regulators ask next.
What You’ll Learn:
- How to identify which AI-generated outputs count as regulatory records
- What the SEC expects from your firm, even if IT is external
- Five practical steps to implement oversight without growing headcount
- A shared language for aligning compliance and IT
- How to ensure records are accessible, reviewable, and exam-ready.
AI-generated records are here. Oversight can’t be optional.