You signed a contract for an AI tool. The bill arrives measured in something called tokens, or credits, or messages. Last month it cost one number. This month it costs twice that. Nobody on your leadership team can tell you why. You do not need to understand the engineering to fix this. You need to understand...
The trust industry has been largely absent from the AI governance conversation, treated as an afterthought in frameworks designed for RIAs and broker-dealers. That absence is dangerous.
The trust industry has been largely absent from the AI governance conversation, treated as an afterthought in frameworks designed for RIAs and broker-dealers. That absence is dangerous.
The trust industry has been largely absent from the AI governance conversation, treated as an afterthought in frameworks designed for RIAs and broker-dealers. That absence is dangerous.
John O'Connell authored this article for Wealth Solutions Report where he discusses the AI governance gap in family offices. Even though most family offices are not RIAs and most do not answer to FINRA, light regulation does not mean light accountability when it comes to the use of AI tools.
John O'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.
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.
John O'Connell authored this article for Advisorpedia, where he discusses the AI governance gap in the wealth management industry and how broker-dealers should govern their AI use given the lack of AI-specific rules from the SEC.
After three decades in financial services, I've learned to pay close attention to what regulators say. Right now, a lot of RIA principals have looked at the current SEC and decided they have breathing room on AI. I understand the reasoning. I disagree with the conclusion. Find out why the next 3-4 years represent an...
Industry leaders John O'Connell of The Oasis Group and Larry Shumbres of Archive Intel provide valuable insights in this webinar replay, discussing how AI is fundamentally reshaping compliance operations in wealth management.
