Artificial Intelligence has become investment advisers' top compliance concern in 2025, displacing the SEC's marketing rule. While 40% of firms use AI internally, 44% lack proper validation processes. AML readiness and cybersecurity controls rank second and third among compliance priorities. For more, visit https://riacomptech.com/2025-compliance-trends-for-rias-how-to-leverage-compliance-software-solutions/
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RIA Compliance Concerns In 2025: AI
Implementation & Cybersecurity Top The List
AI has overtaken the SEC's marketing rule as the
primary compliance concern for investment advisers
in 2025, with 40% of firms using AI lacking formal
validation of outputs.
AML readiness and cybersecurity
controls follow as top concerns,
while only 5% of firms have
implemented AI for client
interactions.
This shift is only natural given the adoption of AI in the financial sector, but is also
concerning in the face of widespread changes to SEC guidance going into 2026.
RIA Compliance Technology have been monitoring
this situation closely, and are cautiously optimistic
that most firms are on track to adapt effectively to
these changes.
They recommend adopting a proactive approach to
compliance implementation, prioritizing tech-forward
solutions purpose-built for the new regulatory
environment.
To assist in the process, they are offering their comprehensive guidance on the matter.
https://riacomptech.com/2025-compliance-trends-for-rias-how-to-leverage-compliance-software-solutions/
https://riacomptech.com/2025-compliance-trends-for-rias-how-to-leverage-compliance-software-solutions/
Find Out More At https://riacomptech.com/2025-compliance-trends-for-
rias-how-to-leverage-compliance-software-solutions/
Implementation & Cybersecurity Top The List
AI has overtaken the SEC's marketing rule as the
primary compliance concern for investment advisers
in 2025, with 40% of firms using AI lacking formal
validation of outputs.
AML readiness and cybersecurity
controls follow as top concerns,
while only 5% of firms have
implemented AI for client
interactions.
This shift is only natural given the adoption of AI in the financial sector, but is also
concerning in the face of widespread changes to SEC guidance going into 2026.
RIA Compliance Technology have been monitoring
this situation closely, and are cautiously optimistic
that most firms are on track to adapt effectively to
these changes.
They recommend adopting a proactive approach to
compliance implementation, prioritizing tech-forward
solutions purpose-built for the new regulatory
environment.
To assist in the process, they are offering their comprehensive guidance on the matter.
https://riacomptech.com/2025-compliance-trends-for-rias-how-to-leverage-compliance-software-solutions/
https://riacomptech.com/2025-compliance-trends-for-rias-how-to-leverage-compliance-software-solutions/
Find Out More At https://riacomptech.com/2025-compliance-trends-for-
rias-how-to-leverage-compliance-software-solutions/