Artificial intelligence is rapidly reshaping the wealth management landscape—from automated trading and personalized portfolio management to sophisticated client analytics. For many firms, including smaller and
privately held entities, AI has become a mission-critical component of daily operations. Yet with these
opportunities come heightened legal, fiduciary, and reputational risks. This paper explores the legal and
regulatory context, examines emerging liabilities, and outlines best practices for establishing robust AI
governance frameworks.
AI Governance for Wealth Management Executives
