Blog
Guides, frameworks, and insights for AI governance teams.
How to Build an AI Governance Framework for Financial Services
A comprehensive guide to establishing AI governance that meets SEC, FINRA, OCC, and EU AI Act requirements while enabling innovation.
SOC 2 Compliance for AI Tools: What Finance Teams Need to Know
Understanding SOC 2 Type I vs Type II, which AI tools need SOC 2 certification, and how to evaluate vendor compliance for financial services.
AI Risk Assessment in Banking: A Practical Guide
How banks can implement AI risk assessment frameworks that comply with SR 11-7 model risk management and OCC guidance.
Shadow AI in Financial Institutions: The Hidden Compliance Risk
How unauthorized AI tools create regulatory exposure for financial institutions and practical steps to gain visibility and control.
AI Vendor Due Diligence Checklist for Regulated Industries
A comprehensive 50+ point checklist for evaluating AI vendors covering security, compliance, data handling, model transparency, and incident response.
Shadow AI Is the Biggest Compliance Risk in Financial Services Right Now
Your analysts are pasting deal data into ChatGPT. Your associates are uploading client financials to AI tools. Here's why that's a regulatory time bomb.
SEC AI Examination Priorities for 2026: What Your Firm Needs to Prepare
The SEC has named AI governance a 2026 examination priority. Here's what examiners will ask and how to prepare.
How to Build an AI Tool Approval Process for Financial Services
A practical guide to creating an AI tool approval process that's fast enough for your team and thorough enough for regulators.
The Treasury's New AI Risk Management Framework: What Financial Firms Need to Do Now
The U.S. Treasury just released the FS AI RMF — a practical AI governance framework for financial services. Here's what it means for your firm.
AI Compliance for RIAs: What Registered Investment Advisors Need in 2026
SEC examination priorities now include AI governance. Here's what RIAs need to have in place before their next exam.
AI Governance for Community Banks and Credit Unions: A Practical Guide
Community banks and credit unions are adopting AI fast — but governance is lagging. Here's how to catch up without enterprise complexity.
Shadow AI Is the #1 IT Risk in 2026 — Here's What Financial Firms Must Do
Torii's 2026 Benchmark Report reveals 61% of enterprise apps are shadow IT. For financial firms, ungoverned AI tools create compliance, security, and audit exposure.