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AI tools are showing up in advisor practices everywhere. The compliance conversation hasn't caught up.
That does not mean advisors get to wait.
Three things worth having in place right now, regardless of where formal SEC guidance lands:
A human reviewing AI-generated content before it reaches clients. The advisor (or a qualified reviewer) needs to own the final version.
A simple, written list of which AI tools your firm uses and what they access. You do not need a 40-page policy. You need a clear record.
Client disclosure when AI tools record or transcribe your meetings. If a tool is capturing the conversation, clients should know that before it starts.
The advisors building these habits now are in a better position when formal guidance arrives. And it will arrive.
Drop your questions below or send us a message. Building compliant AI workflows into your practice is something ARC-affiliated advisors work through with our compliance team regularly.
advisorresourcecouncil.com/contact-us
05/27/2026
The ARC family just got a little bigger. Welcome, Jeff Carroll of Carroll Wealth Management!
Jeff has 34 years in financial services and a clear philosophy: each client is different and deserves a more personalized approach. He started his career at Merrill Lynch in 1992 and built his firm around that same principle.
Outside the office, Jeff is an avid pickleball player who loves spending time with his wife Lyn, their two kids, and two grandsons. Sounds like the good life to us.
Jeff, we're glad to have you. Welcome to the community!
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