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AI Acceptable Use Policy Template for RIAs

A ready-to-adapt policy for how your firm's people use AI tools. It covers which tools are approved and on which plans, what client data may go into them, when a person must review AI output, how AI-drafted communications and marketing are kept and approved, how the firm describes its own AI use, vendor due diligence, supervision and testing, and training.

It comes as a Word document with bracketed items to fill in for your firm. Review it with your counsel or compliance consultant before you adopt it.

Read the full guide: how to adapt it, with the rules behind each section

What's in the template

Ten numbered sections, each with clauses you can keep, edit or delete.

  1. Purpose and scope
  2. Approved AI tools register
  3. Data rules
  4. Human review
  5. Client communications and records
  6. Marketing and AI-drafted content
  7. Describing the Firm's use of AI
  8. Vendor due diligence
  9. Supervision and testing
  10. Training, attestation and violations

This template is general information for compliance professionals, not legal advice. Adapt it to your firm's tools, clients and procedures.

Keep the policy running after you adopt it

RegFin keeps your policies, vendor reviews and the records an examiner asks for in one place, building as you work.

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