Before AI clicks Submit in a client’s account, a firm needs three answers: who authorized it, what exactly was approved, and what record remains.
AI at independent RIAs is moving from answering questions to doing the work: signing in, preparing, submitting. The rules firms already follow reach it.
Inside this issue
- Four levels of AI authority, and the difference between authorizing a task and approving an action
- Where the compliance rule, books and records, Reg S-P, custody, and the marketing rule meet AI that acts
- Stopping and recovery: who can pause a workflow, and what to do when a result is uncertain
- A one-page worksheet to approve each AI workflow before it goes live
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