AI Policy Template
Wealth Management AI Policy Template
Don't reinvent the wheel. Our AI governance policy template is built for wealth management firms and aligned with SEC/FINRA expectations. Customize it to your firm's needs and deploy AI with confidence.
What's Covered in the Policy Template
A comprehensive AI governance framework covering system inventory, approval processes, oversight, documentation, and monitoring—the four pillars regulators expect.
AI System Inventory
Catalog all AI tools, including vendor systems, internal models, and third-party integrations.
Approval & Oversight
Define who authorizes AI deployment, how models are validated, and escalation procedures.
Documentation Standards
Specify what records must be kept for each AI system—training data, testing results, and monitoring logs.
Why Use Our Template?
Writing an AI policy from scratch means guessing what regulators want. Our template reflects real-world SEC exam feedback and FINRA guidance.
- Start from a compliant baseline instead of building from scratch
- Avoid common gaps that trigger SEC exam findings
- Customizable sections for your firm's specific AI use cases
- Aligned with latest FINRA and SEC guidance
- Includes training materials and implementation guide
AI Policy Template Package — $3,500
Fixed-scope engagement delivering a ready-to-customize policy template, implementation guide, and training materials.
What's Included
- AI governance policy template (Word/Google Docs format)
- Section-by-section implementation guide
- Customization worksheet for your firm's use cases
- Training presentation for compliance staff
- Sample documentation forms (inventory, approval, monitoring)
- 30-day email support for questions during rollout
Delivered in Days, Not Months
After your intake call, we deliver the customized policy template and supporting materials within 3–5 business days. No waiting for committee approvals or consultant availability.