07.22.25

AI Tops Compliance Concerns for RIAs

by: Leo Almazora

The latest Investment Management Compliance Testing Survey of 577 compliance officers found AI to be the top compliance concern of registered investment advisors. AI and predictive analytics were identified as the “hottest” topics by 57% of respondents, beating anti-money laundering (31%) and cybersecurity (38%). The survey further found that four in 10 firms have formally adopted AI tools for internal purposes, but just 5% are using the tools to support client interactions. Nine percent of those using AI mention it in their marketing materials.

Read the full article on InvestmentNews