Resources
Editable starting points from the work we do with investment advisory firms. Adopt them with your own compliance counsel and adjust for your circumstances. A template is a starting point, not a substitute for your own judgment.
Editable Word document (.docx)
A three-page acceptable use policy for a growing RIA that wants to enable AI without a dedicated IT department. Built for Regulation S-P, the recordkeeping rule, and the 2026 examination priorities. Highlighted fields are fill-in-the-blank for your firm-specific details: approved tools, prohibited uses, and a named escalation owner.
Download the templateMore resources are on the way, including the AI vendor evaluation rubric. New templates land alongside the newsletter. Want a second set of eyes on your filled-in version, or have a question about rolling it out? Email us.