For New York financial firms

The AI-use policy your firm is missing.
‍Written for you.

Copilot and ChatGPT are already inside most firms, usually before anyone wrote down how staff should use them with client data.
This free, editable template gives you a supervised policy built for SEC and FINRA firms.

Get the template

Your seat has been successfully reserved, you will receive a confirmation email shortly. Make sure you check your spam inbox as well. See you there!
Oops! Something went wrong while submitting the form.

No strings, yours to adapt.

Don't write it from scratch.
Make it yours in an afternoon.

What’s inside
A working policy you can adapt in an afternoon. The four things a real AI policy needs.
Approved tools
Which AI tools staff may use, and which are off-limits.
Data rules
What client and firm data can and cannot
go into a tool.
Supervision
Who owns AI use, and how it is
overseen.
Audit-ready record
How you would show all of it if you were
ever asked.
Send me the template
Why this matters now
Most firms have none of these written down. Between SEC exam focus, FINRA supervision expectations, and the diligence questions institutional investors now ask, "we don't have anything written" is an uncomfortable answer. This template gets you to a defensible starting point.
A documented policy is a defensible policy.
Send me the template