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Insights
Our view on regulation, exams and what's changing in AI governance.
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.
Insights
Your AI policy says one thing. Can you show what employees actually do?
Most investment firms now have an AI policy. Few can show it is followed. What it takes to turn a policy into evidence, using controls compliance teams already know.
Insights
What the first shadow AI Form 8-K means for investment managers
A regional bank filed the first SEC 8-K caused by an employee's unauthorized AI tool. What investment managers should take from it, and how to find shadow AI before it becomes an incident.