Artificial intelligence is rapidly becoming embedded in the day-to-day operations of investment advisers, from research and trading support to marketing and internal productivity tools. But as adoption accelerates, so do regulatory expectations.
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For more information on this session, please read the description below.
Using AI in Investment Firms: Staying Compliant Without Over-Engineering
In this practical, exam-aware discussion, Tito Pombra, president and founder of ACC, joined Graham Roggli, chief strategy manager at Xantrion, to address one of the most pressing issues facing compliance teams today: How can investment firms adopt AI tools responsibly, without creating unnecessary governance burdens or increasing regulatory risk?
Rather than focusing on theory or headline risk, the session delivers real-world guidance tailored to small and mid-sized advisers.
Key Topics
- Why banning AI outright may increase risk instead of reducing it
- Where “shadow AI” usage tends to emerge within firms.
- What regulators are likely to expect during examinations.
- How to document AI oversight in a practical, defensible way.
- A streamlined roadmap of AI governance artifacts that supports supervision.
As regulators continue to scrutinize cybersecurity, data protection, vendor oversight and supervisory controls, AI use will increasingly intersect with core compliance obligations. Firms that take a thoughtful, documented approach now will be better positioned for future examinations.
Why This Matters for Adviser
AI tools are already being used across marketing, research, operations, and portfolio management functions, often before compliance teams are aware.
The goal is not to slow innovation. It is to ensure firms can demonstrate:
- Reasonable supervision
- Appropriate vendor diligence
- Data protection controls
- Clear internal policies and training
This session outlines a balanced path forward.
If you have questions about AI governance, vendor oversight or how to incorporate AI supervision into your compliance program, please contact the ACC team. We are actively working with firms to assess and document AI-related risk in a way that aligns with regulatory expectations, without unnecessary complexity.
