2025 AI Regulatory Rundown

As firms integrate AI into client interactions, risk analysis, and investment tools, global regulators are no longer playing catch-up. They’re drawing the line. 

AI is no longer experimental. It’s embedded in how firms operate, across communications, decision-making, and automation. 

But here’s the catch: Using AI doesn’t exempt you from compliance.  

This guide translates regulatory complexity into clear, actionable insight. Whether you're just starting to evaluate AI tools or actively deploying them, you'll walk away with: 

• A breakdown of current and emerging rules from the SEC, FINRA, FCA, and EU 

• Practical compliance tips for supervising AI tools and content 

• Early signals from regulators, and what they could mean for your next exam