Compliance Archives | The Oasis Group

SEC, FINRA, Reg S-P, Reg BI, examination priorities, record keeping

John O’Connell Featured in Professional Wealth Management:When advisers stop thinking for themselves

John O'Connell was recently featured in Professional Wealth Management with an article on a risk most firms aren't pricing into their AI rollout. Firms have spent two years worrying about whether AI tools are accurate, but the bigger question is what happens to advisor judgment once the tool is reliable enough to trust most...

August 20, 2026By John O'ConnellArticleAI, ComplianceRead more...

John O’Connell Featured in Wealth Management: 20 Questions to Ask in Every WealthTech AI Demo

John O'Connell recently wrote in WealthManagement.com about why firms keep making expensive wealth tech mistakes: every AI tool looks impressive in a controlled demo where the data is clean, the workflow is choreographed, and the edge cases your firm would actually hit never surface, so the real trap is letting the vendor set the...

July 24, 2026By John O'ConnellArticle, NewsAI, AI Washing, Compliance, WealthTechRead more...

John O’Connell Featured in Rethinking65:Expanding AI Usage? Start in the Back Office

John O'Connell wrote this piece for Rethinking65 on why advisors expanding their AI use should start in the back office, not with clients. According to J.D. Power's 2025 U.S. Financial Advisor Satisfaction Study, 35% of advisors identified AI as the top technology their firms should invest in, and satisfaction scores were measurably higher among...

July 9, 2026By John O'ConnellArticleAI, Compliance, Practice ManagementRead more...

John O’Connell Featured in Financial Advisor Magazine: You Are Not Your Clients Document Vault

Recently, John O'Connell published an article in Financial Advisor Magazine. The article discusses the risk Wealth Management firms run into when it comes to holding onto clients' tax records. He asserts that, without proper document management, firms often expose themselves to major risk unnecessarily. Read the Full Article Here

June 18, 2026By John O'ConnellArticleCompliance, Data ManagementRead more...

John O’Connell Published in Wealth Management: No New Rules Doesn’t Mean No Examination

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.

May 8, 2026By John O'ConnellArticle, NewsAI Governance, ComplianceRead 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 John O'ConnellArticle, NewsAI Governance, ComplianceRead more...

John O’Connell Published in WealthManagement.com: Prediction Markets Find Their Regulatory Footing, But the Boundaries Remain Clear

John O'Connell authored this piece for WealthManagement.com, discussing how prediction markets have moved from academic curiosities to regulated financial venues - but the regulatory environment that governs them is still evolving.

December 17, 2025By John O'ConnellArticle, NewsCompliance, Prediction MarketsRead more...

John O’Connell Published in ThinkAdvisor: When AI Is Taking Notes, Beware of These 6 Types of Hallucinations

John O’Connell wrote this bylined article that was published in ThinkAdvisor, where he details six different types of hallucinations within AI note taking apps. He also covers how to spot AI hallucinations, how to confirm that AI is hallucinating, and how to safeguard your firm from hallucinations.

May 15, 2025By John O'ConnellArticle, NewsAI, ComplianceRead more...

John O’Connell Featured in The Daily Upside: AI Assistants Are Taking Over Wall Street

The Oasis Group CEO John O’Connell was quoted in this FA Upside article from The Daily Upside, where he discusses how AI assistants and other AI applications will fundamentally reshape the wealth management industry.

July 29, 2024By John O'ConnellArticle, NewsAI, Compliance, Practice Management, WealthTechRead more...

John O’Connell Featured in Financial Planning Magazine on Using Social Media Compliantly

The Oasis Group CEO John O’Connell was featured in an article in Financial Planning Magazine on how financial advisors can use social media compliantly to reach younger generations and take advantage of the great wealth transfer.

July 17, 2024By John O'ConnellArticle, NewsCompliance, Practice ManagementRead more...

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