GUIDE

AI Compliance: 10 Best Practices for Financial Firms

As AI reshapes financial services, compliance obligations remain unchanged. With FINRA identifying over 4,000 AI use cases and regulators intensifying scrutiny, firms need a structured approach to balance innovation with compliance.

In this guide, you'll learn how to:

• Establish governance frameworks that align with SEC examination priorities
• Determine when AI outputs become regulatory records requiring retention
• Prevent "shadow AI" through clear policies and employee training
• Implement human-in-the-loop oversight that regulators expect
• Extend supervision to embedded AI features in platforms like Microsoft Teams

Download the guide to adopt all ten best practices and elevate AI compliance from a challenge to a competitive advantage.