Most advice firms are already using AI somewhere. A bit of ChatGPT here, an AI note-taker there. Very few have written guardrails for it. Closing that gap is the difference between AI as a quiet risk and AI as a genuine asset.
What you walk away with
- A practical AI governance policy, tailored to your practice
- An AI tools register: what you use, and what's safe for client data
- A clear RACI, so accountability is never vague
- Built with you in about 60 minutes. You leave with the finished document
- Yours to keep, edit, and take to your licensee for sign off
Why it's free
About 74% of advice practices now use AI (Adviser Ratings, 2025), but fewer than half have a policy for it. I believe in using AI, but in a way that's ethical and protects both the practice and, ultimately, the clients who rely on the advice. So I run four of these free each month: partly to help firms adopt AI, and partly to help them get it right from the start.
What it's worth
A governance policy drafted from scratch by a consultant or law firm would typically cost $1,500 or more. This one is free, and places are limited.
The Guardrails Guarantee
If you finish the session and you're not comfortable putting the policy in front of your licensee, I'll keep working with you until you are. No charge.
A former financial adviser and practice principal with 15 years in financial services, including seven years consulting to major institutions on regulatory and remediation programs. I've held the licence and lived the compliance obligations, so I build for how advice practices actually work. Compliance first, plain English, no jargon.