The role of generative and predictive AI in wealth management
Wealth managers need to match predictive and generative AI to the right tasks, with governance, testing and oversight built into any long-term adoption plan.
Sector: Wealth and Advice
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Turning “no change” reviews into insightful compliance opportunities
No-change annual reviews can carry material suitability risk. Firms need evidence that ongoing advice remains appropriate, even when no new recommendation is made.
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Harnessing AI to transform suitability reviews into actionable insight
AI can help wealth managers turn suitability reviews into usable management information, reducing review effort while preserving human judgement over advice quality and suitability.
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Attivo deploys Recordsure’s AI technology to evidence its ongoing advice compliance and cut file review costs
Attivo is using Recordsure technology to target high-risk ongoing advice files, evidence compliance, reduce review costs and improve oversight across its advice journey.
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Turning suitability reviews into a strategic advantage
Suitability reviews can become a source of adviser improvement and customer outcome evidence when firms combine risk-based sampling, clear feedback and follow-up.
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Secrets of AI Agents
Kit Ruparel, Recordsure’s CTO, demystifies AI agents: what Agentic Clients, Servers and protocols such as MCP actually do, why chaining LLMs compounds confidently wrong answers, and how to build safe,…
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Suitability reviews with AI: turning a compliance burden into a business asset
Suitability reviews can move beyond tick-box checking when AI-supported insight is combined with expert oversight and clear adviser feedback.
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AI in Compliance event for wealth managers: Five takeaways
Five themes from an AI in Compliance event for wealth managers, including reasonable steps, fair value, AI oversight, transparency and adoption.
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AI in Compliance: Regulatory success for financial services
A two-part TCC and Recordsure webinar series explained how advice firms could use AI to improve suitability checks, evidence quality and regulator-ready compliance foundations.
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Plan for the worst, act early: winning the remediation race
Part five of the motor finance webinar urges firms to prepare early by data mining, reviewing disclosures and testing resource plans.