Say yes to AI without losing track of client data.
Policies and checklists for AI notetakers, ChatGPT-style assistants and Microsoft 365 Copilot, plus an AI vendor vetting checklist built around Regulation S-P's service provider requirements.
Give your team clear rules they'll actually follow, instead of a blanket ban they'll work around
Find out whether your AI notetaker counts as a Reg S-P service provider, and what that requires
Check the Microsoft 365 settings to fix before Copilot starts surfacing overshared files
Set your records position on transcripts and summaries with your counsel, then write it down
Vet any AI vendor with one consistent checklist
Free. No sales call required.
Written by Harrison Baron at Secure Wealth IT, a Charlotte, NC IT and cybersecurity firm that works with RIAs, financial advisors and broker-dealers. Based on Regulation S-P's rule text, FINRA's 2026 oversight report, and vendor documentation.
What's Inside
Everything in the AI Tool Policy Pack
AI Acceptable Use Policy template
AI Notetaker and Meeting Recording Standard, with sample client disclosure language
General-purpose AI assistant standard (ChatGPT and similar)
Microsoft 365 Copilot readiness checklist
Records retention position worksheet for AI output
AI vendor vetting checklist
AI data flow map and approved tool register, with staff attestation
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