Wealth Management / Financial Advisors

Books of business contain PII, account numbers, and material non-public information. Leakage triggers SEC Reg S-P and FINRA 4511 violations.

All industries

Shadow AI risk

Advisors paste client portfolios, KYC docs, and meeting notes into ChatGPT to draft client communications.

Common use cases

· Drafting client emails
· Summarizing review meetings
· Generating retirement projections
· Researching securities

Compliance impact

SEC Reg S-P

FINRA 4511

FINRA 3110

GLBA

Conversation starter

"Most RIAs we talk to discover within 30 days that 40%+ of their advisors are already pasting client data into ChatGPT. How are you seeing it at your firm?"

Discovery questions

·Has your CCO done an AI usage audit in the last 90 days?
·What's your written policy on Copilot vs ChatGPT for client-facing work?
·If a regulator asked for an AI inventory tomorrow, could you produce one?
·How do you prove a client's PII didn't go into a public LLM?

Recommended collateral

Wealth Management One-Pager
SEC AI Risk Brief
RIA Case Study