Wealth Management
Portfolio managers, family offices and IIROC/CIRO-registered advisors deploying AI across suitability, KYC and portfolio construction.
AI-assisted suitability tools under CIRO supervision, model explainability for KYC/KYP, and the documentation trail required when algorithmic recommendations reach the client.
The obligations a wealth management supervisor will cite.
Each framework below is live in the supervisory conversation today. We index them against a single authoritative control mapping so the same evidence artefact answers every one of them.
From discovery through signed artifact.
Each playbook walks the full path — phases, control mapping, evidence output. Digital compliance officers handle the mechanical steps. Specialists carry the judgement calls and the sign-off.
NIST AI RMF Profile Playbook
Govern / Map / Measure / Manage — profiled to your sector, your use cases and the frameworks your regulators read.
Read the playbook →ISO/IEC 42001 · ControlsISO/IEC 42001 AIMS Stand-Up Playbook
Build a certifiable AI Management System: scope, policy, objectives, risk, controls, audit. Mapped to your portfolio.
Read the playbook →Cross-framework · MonitoringContinuous Control Monitoring Playbook
Drift, performance, outcome and complaint monitoring in one pipeline — outputs a supervisor can act on.
Read the playbook →OSFI E-23 · InventoryOSFI E-23 Readiness Playbook
Stand up the 17-field Appendix A model inventory, map controls to the six principles, and produce the artifact set your supervisor will read before the meeting.
Read the playbook →The services that carry the load in wealth management.
Three services carry most of the work in this vertical. Each is grounded in the same compliance intelligence layer, produces portable artefacts, and operates alongside your second line.
Senior advisory on the governance an AI-era regulator will actually examine — policies, roles, risk tiering, validation cadence.
Open the service →The engagement arm where digital compliance officers sit inside your workflow, drafting under human sign-off.
Open the service →PIAs, DPIAs, ADM disclosures and cross-border posture — drafted against the clause, signed by the practitioner.
Open the service →Walk us through your wealth management portfolio.
Bring the inventory you have today — or the one you wish you had. We'll map it against the frameworks above, show you the artifact set your supervisor will read, and the playbooks that land it.