{"id":13148,"date":"2026-05-08T21:02:35","date_gmt":"2026-05-08T21:02:35","guid":{"rendered":"https:\/\/theoasisgrp.com\/?p=13148"},"modified":"2026-08-27T22:40:15","modified_gmt":"2026-08-27T22:40:15","slug":"john-oconnell-published-in-wealth-management-no-new-rules-doesnt-mean-no-examination","status":"publish","type":"post","link":"https:\/\/theoasisgrp.com\/?p=13148","title":{"rendered":"John O&#8217;Connell Published in Wealth Management: No New Rules Doesn&#8217;t Mean No Examination"},"content":{"rendered":"\t\t<div data-elementor-type=\"wp-post\" data-elementor-id=\"13148\" class=\"elementor elementor-13148\">\n\t\t\t\t\t\t<section class=\"elementor-section elementor-top-section elementor-element elementor-element-1acb0b67 elementor-section-boxed elementor-section-height-default elementor-section-height-default\" data-id=\"1acb0b67\" data-element_type=\"section\" data-e-type=\"section\">\r\n\t\t\r\n\t\t\t\t\t\t\t<div class=\"elementor-container elementor-column-gap-default\">\r\n\t\t\t\t\t\t\t\t\t\t\t<div class=\"elementor-column elementor-col-100 elementor-top-column elementor-element elementor-element-ab22d56\" data-id=\"ab22d56\" data-element_type=\"column\" data-e-type=\"column\">\r\n\t\t\t\t\t<div class=\"elementor-widget-wrap elementor-element-populated\">\r\n\t\t\t\t\t\t\t\t<div class=\"elementor-element elementor-element-59d7112f elementor-widget elementor-widget-text-editor\" data-id=\"59d7112f\" data-element_type=\"widget\" data-e-type=\"widget\" data-widget_type=\"text-editor.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t\t\t\t\t<p>John O&#8217;Connell authored this article for <a href=\"https:\/\/www.wealthmanagement.com\/artificial-intelligence\/sec-examiners-are-asking-rias-about-ai-governance-now\" target=\"_blank\" rel=\"noopener nofollow noreferrer\">Wealth Management Magazine<\/a> where he discusses the lack of AI governance from the SEC and provides a list of 5 things that RIA firms should build before June 2026.<\/p><p>The SEC is not producing new artificial intelligence-specific rules for investment advisors anytime soon.\u00a0The commission is shorthanded, the chair is deregulatory by conviction, and the Administrative Procedure Act sets a floor on rulemaking timelines that no amount of political will can compress below 18 months. That is not a reason to relax. It is a reason to pay attention to the risk you are already carrying under the frameworks that exist right now.<\/p><p>There is a due diligence question that more institutional clients and sophisticated prospects are asking in 2026: how does your firm govern its AI use? The firms that can answer that question with a coherent, documented program are winning business the unprepared firm loses. It is not a compliance advantage. It is a trust advantage.<\/p>\t\t\t\t\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t<div class=\"elementor-element elementor-element-9fa2fa0 elementor-widget elementor-widget-porto_button\" data-id=\"9fa2fa0\" data-element_type=\"widget\" data-e-type=\"widget\" data-settings=\"{&quot;align&quot;:&quot;center&quot;}\" data-widget_type=\"porto_button.default\">\n\t\t\t\t<div class=\"elementor-widget-container\">\n\t\t\t\t\t<a class=\"btn btn-xl btn-primary\" href=\"https:\/\/www.wealthmanagement.com\/artificial-intelligence\/sec-examiners-are-asking-rias-about-ai-governance-now\" target=\"_blank\" rel=\"nofollow\"><span >Read the full article here<\/span><\/a>\t\t\t\t<\/div>\n\t\t\t\t<\/div>\n\t\t\t\t\t<\/div>\r\n\t\t\t\t<\/div>\r\n\t\t\t\t\t<\/div>\r\n\t\t\t\t<\/section>\r\n\t\t\t\t<\/div>\n\t\t","protected":false},"excerpt":{"rendered":"<p>John O&#8217;Connell authored this article for Wealth Management Magazine where he discusses the lack of AI governance from the SEC and provides a list of 5 things that RIA firms should build before June 2026.<\/p>\n","protected":false},"author":1,"featured_media":13155,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[67,98],"tags":[150,151],"class_list":["post-13148","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-article","category-news","tag-ai-governance","tag-compliance"],"acf":[],"featured_image_src":{"landsacpe":["https:\/\/theoasisgrp.com\/voyager\/wp-content\/uploads\/2026\/05\/Screenshot-2026-05-11-at-4.24.22-PM.png",522,421,false],"list":["https:\/\/theoasisgrp.com\/voyager\/wp-content\/uploads\/2026\/05\/Screenshot-2026-05-11-at-4.24.22-PM-463x348.png",463,348,true],"medium":["https:\/\/theoasisgrp.com\/voyager\/wp-content\/uploads\/2026\/05\/Screenshot-2026-05-11-at-4.24.22-PM-300x242.png",300,242,true],"full":["https:\/\/theoasisgrp.com\/voyager\/wp-content\/uploads\/2026\/05\/Screenshot-2026-05-11-at-4.24.22-PM.png",522,421,false]},"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.7 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>No New Rules Doesn&#039;t Mean No Examination<\/title>\n<meta name=\"description\" content=\"John O&#039;Connell Published in Wealth Management: No New Rules Doesn&#039;t Mean No Examination. 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