AI use is already happening. The records often aren't.
Staff are pasting client details into consumer chat tools. Advisors want help drafting emails and meeting summaries. Marketing wants AI-assisted content. Each of these can create a record your firm may need to keep, supervise or produce in an exam, and most AI tools weren't set up with that in mind.
Your compliance team needs to know what was generated, by whom, from what data, who reviewed it and where it's stored. That's an engineering problem as much as a policy one. It's the same concern behind the SEC's recent off-channel communications cases: records that exist outside the systems your firm supervises.
To be plain about our role: Dialogica is not a compliance consultant or a law firm, and we don't give legal or regulatory advice. Your chief compliance officer and counsel decide what your obligations are and what your policies say. We build the software that carries those policies out, and we show your team exactly how it works so they can test it.
What we build
AI activity logging
Capture prompts, outputs, source documents, user and timestamp for the AI tools we deploy, stored in systems your firm controls and searchable by compliance.
Retention and archiving hooks
Send AI-generated communications and records to your existing archive or records system, in the format and on the retention schedule your compliance team sets.
Review and approval queues
Route AI-drafted client communications, marketing pieces and proposals to the right reviewer before they go out, with the decision and reviewer recorded.
Supervision and exam-support tooling
Give compliance staff sampling, keyword and exception reports on AI use, plus a way to pull the records for a given client, user or date range when a request comes in.
How it works
Step 1: Start from your policies
We work from your written compliance policies, supervisory procedures and records schedule, with your CCO in the room. If a policy doesn't cover AI yet, your compliance team decides what it should say; we explain the technical options.
Step 2: Design the controls
We document what each AI tool can access, what it logs, where records go, who reviews what, and how long things are kept, and your compliance team signs off before we build.
Step 3: Build and test with compliance
We build the logging, routing and reporting, then walk your compliance staff through test cases so they can confirm it behaves as documented.
Step 4: Operate and adjust
When your policies, vendors or regulators' expectations change, we update the tooling under our Operate retainer and keep a change history.
Systems we connect
- Your existing email and communications archive
- Microsoft 365 and Google Workspace, including retention and audit settings
- SharePoint and other document management systems
- Salesforce-class and wealth-management CRMs
- Your agency management system (AMS), scoped during Discovery
Related work
Registered investment adviser: compliance-aware AI deployment planning
We planned a Claude deployment for an RIA with its compliance requirements as the starting point: which data the AI could reach, what would be logged and retained, and how outputs would be reviewed before reaching a client.
Questions compliance teams ask
Will this make our AI use compliant?
We can't promise that, and nobody should. Compliance depends on your policies, your supervision and how your people use the tools. We build controls that make AI use visible, reviewable and retained the way your policies require, so your team can supervise it.
Which rules does this cover?
Your CCO and counsel decide that. For context, RIAs typically look at Advisers Act Rule 204-2 (books and records) and the Marketing Rule, 206(4)-1. Broker-dealers look at Exchange Act Rule 17a-4 and FINRA supervision and communications rules. Insurance agencies follow state and carrier requirements. We build to the obligations your team identifies.
Where are the logs and records stored?
In systems your firm controls, such as your own tenant, archive or records system, wherever possible. We document the location of every record type during design.