Noesion Radarnoesion.ai
Regulation2026-08-24

US investment advisors face SEC examinations that treat AI use as a top focus this year, without any AI-specific rule to follow. Examiners are expected to test AI use against existing obligations such as client data protection, record keeping and fiduciary duty. A survey of 411 advisory firms found fewer than half require a person to check AI-generated work, and fewer still set rules for outside vendors.

What changed

A proposed SEC rule on conflicts of interest in advisors' AI use was withdrawn last summer, leaving no AI-specific regulation.

What it unlocks

Preparing for SEC examinations by documenting human review, vendor data handling and AI disclosures against existing rules.

  • 48% require a human check on AI output
  • 411 advisor firms surveyed
  • under 33% have vendor AI policies
  • 30 days to notify breach victims

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