Topic
Exams and diligence
Preparing for SEC and FINRA exams and answering allocator due diligence on AI.
Guides
Answering the AI section of an LP DDQ
Allocators now ask about AI in operational due diligence. The questions that come up most, what a strong answer looks like, and the evidence to have ready.
Insights
The SEC will ask about your AI policy. What examiners want to see
The SEC's FY2026 exam priorities put AI supervision on the checklist. What advisers should have ready beyond the policy itself: inventory, approvals, vendor files and accurate AI claims.