Join 70,00 Other Financial Professionals. Sign Up for Our Monthly Newsletter:

Subscribe Here

AI Governance

Acceptable use policies, regulatory exposure, shadow AI, vendor oversight

John O’Connell Featured in Wealth Solutions Report: Your AI Notetaker Just Became A Liability

John O'Connell was recently featured in Wealth Solutions Report where he discussed a new legal risk from AI notetakers. The notetaker in your client meetings isn't a passive tool, it's a third party recording people who may never have agreed to be recorded. A federal judge in the Otter.ai privacy litigation let the core...

September 4, 2026By Uncategorized, Read more...

John O’Connell Featured in Kiplinger: Will AI Pay Dividends for Your Firm? To Find Out, Budget for the Whole Iceberg, Not Just the Tip

John O'Connell was recently published in Kiplinger on why most firms miscalculate AI ROI. His argument is that the vendor's token bill is just the tip of the iceberg, and the costs that actually decide whether AI pays off never appear on that invoice. There are three: review, because every output reaching a client...

August 25, 2026By Uncategorized, , Read more...

John O’Connell Published in Advisor Perspectives by VettaFi: The SEC Isn’t Coming. That’s the Problem.

John O'Connell authored this article in Advisor Perspectives by VettaFi discussing the AI governance gap in the wealth management industry. Right now, a lot of RIA principals have looked at the current SEC and decided they have breathing room on AI. He understands the reasoning. But disagrees with the conclusion.

May 6, 2026By Article, News, Read more...
The Oasis Group's AI Readiness Index: First Maturity Benchmark for Wealth Management Industry

The Oasis Group’s AI Readiness Index: First Maturity Benchmark for Wealth Management Industry

The Oasis AI Readiness Index™ is the industry’s first maturity benchmark built exclusively for fiduciary wealth management firms, trust firms, and family offices, utilizing a two-axis maturity model that measures both governance control and technology sophistication across 70 diagnostic questions.

March 4, 2026By Peaks Perspective, Read more...

John O’Connell Published in Advisor Perspectives by VettaFi: CTOs Must Govern Shadow AI or Face Security Risk

John O'Connell authored this article in Advisor Perspectives by VettaFi where he discusses the dangers of unregulated use of shadow AI that could already be affecting your firm. The real question is not whether shadow AI exists inside your walls. It is whether you will take control of it before regulators and cybercriminals do.

February 18, 2026By Article, News, Read more...

The CTO’s Impossible Choice: Govern Shadow AI or Watch Your Firm’s Data Walk Out the Door

While your compliance team debates whether to allow the latest LLMs, most of your advisors are already using it on their personal phones. They are entering client data, portfolio ideas, and internal research into systems your firm has never reviewed. How will you take control of it before regulators and cybercriminals do?

January 5, 2026By Peaks Perspective, Read more...

How Smaller Firms Can Achieve Data Lineage with Simple Agents

Data lineage isn't about expensive technology. It's about answering three straightforward questions about AI-generated content: What data went into this output? Who used it, and when? Where is the record stored? If you can answer those questions reliably, you have functional lineage. Everything else is infrastructure theater.

November 17, 2025By Peaks Perspective, Read more...