The white paper draws on Securities and Exchange Commission (SEC)'s examination priorities and Treasury guidance to help financial advisers assess artificial intelligence (AI) risks and vendor controls.
Wealthtech and AI software provider DeepVest has released a white paper designed to help registered investment advisers (RIAs) and wealth management professionals assess the regulatory readiness and reliability of AI tools before deploying them in their businesses. The SEC's FY2027 examination priorities call for scrutiny of firms' claims about automated tools and the controls used to oversee them The paper, titled When AI Meets the Examiner: A Practical Benchmark for Evaluating AI Tools Und