{"id":115,"date":"2026-07-22T16:38:37","date_gmt":"2026-07-22T20:38:37","guid":{"rendered":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/?p=115"},"modified":"2026-07-22T16:38:38","modified_gmt":"2026-07-22T20:38:38","slug":"compliance-insights-for-broker-dealers-in-the-age-of-ai","status":"publish","type":"post","link":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/2026\/07\/22\/compliance-insights-for-broker-dealers-in-the-age-of-ai\/","title":{"rendered":"Compliance Insights for Broker-Dealers in the Age of AI"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">By&nbsp;<a href=\"https:\/\/www.duanemorris.com\/attorneys\/walterasaurack.html\">Walter Saurack<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">For most broker-dealers, generative AI continues to become more deeply integrated into day-to-day workflows.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">On July 13, 2026, Reuters\u00a0<a href=\"https:\/\/www.reuters.com\/business\/finance\/wall-street-banks-ramp-up-digital-assistants-bid-to-win-productivity-race-2026-07-13\/\" target=\"_blank\" rel=\"noreferrer noopener\">reported<\/a>\u00a0that Morgan Stanley will test digital assistants later this summer that will interact with wealth management clients at all hours of the day.\u00a0The bank already uses AI agents internally to support its financial advisors.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">This follows similar moves by Morgan Stanley\u2019s competitors, such as Goldman Sachs, which&nbsp;<a href=\"https:\/\/www.cnbc.com\/2026\/02\/06\/anthropic-goldman-sachs-ai-model-accounting.html\" target=\"_blank\" rel=\"noreferrer noopener\">announced<\/a>&nbsp;in February its partnership with Anthropic to build agents for trading, transaction accounting, and client onboarding. A KPMG&nbsp;<a href=\"https:\/\/kpmg.com\/kpmg-us\/content\/dam\/kpmg\/corporate-communications\/pdf\/2026\/BANKING_2026_AIPulseSurvey_Q2.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">survey<\/a>&nbsp;conducted this past June found that 51% of banks were already piloting AI agents.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">The regulatory framework is struggling to keep up with adoption at such a scale, leaving firms to confront three pressing questions by themselves: Are AI prompts and outputs records that firms should be legally required to retain? \u00a0What do firms owe customers if their data were to touch a third-party AI model? \u00a0And what should an AI-use policy actually say?<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Read the full <a href=\"https:\/\/blogs.duanemorris.com\/artificialintelligence\/2026\/07\/22\/ai-and-broker-dealer-compliance-what-firms-need-to-know-now\/\"><strong>article<\/strong><\/a> on the Duane Morris Artificial Intelligence Blog.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>By&nbsp;Walter Saurack For most broker-dealers, generative AI continues to become more deeply integrated into day-to-day workflows. On July 13, 2026, Reuters\u00a0reported\u00a0that Morgan Stanley will test digital assistants later this summer that will interact with wealth management clients at all hours of the day.\u00a0The bank already uses AI agents internally to support its financial advisors. This &hellip; <\/p>\n<p class=\"link-more\"><a href=\"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/2026\/07\/22\/compliance-insights-for-broker-dealers-in-the-age-of-ai\/\" class=\"more-link\">Continue reading<span class=\"screen-reader-text\"> &#8220;Compliance Insights for Broker-Dealers in the Age of AI&#8221;<\/span><\/a><\/p>\n","protected":false},"author":610,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[2],"tags":[34,35,19],"ppma_author":[22],"class_list":["post-115","post","type-post","status-publish","format-standard","hentry","category-general","tag-artificial-intelligence","tag-broker-dealer","tag-walter-saurack"],"authors":[{"term_id":22,"user_id":610,"is_guest":0,"slug":"wasaurack","display_name":"Walter A. Saurack","avatar_url":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-content\/uploads\/sites\/62\/2023\/03\/saurackwalter-100x100.jpg","author_category":"","last_name":"Saurack","first_name":"Walter","user_url":"https:\/\/www.duanemorris.com\/attorneys\/walterasaurack.html","job_title":"","description":"<A HREF=\"https:\/\/www.duanemorris.com\/attorneys\/walterasaurack.html\">Read Walter's Bio<\/a>"}],"_links":{"self":[{"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/posts\/115","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/users\/610"}],"replies":[{"embeddable":true,"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/comments?post=115"}],"version-history":[{"count":0,"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/posts\/115\/revisions"}],"wp:attachment":[{"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/media?parent=115"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/categories?post=115"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/tags?post=115"},{"taxonomy":"author","embeddable":true,"href":"https:\/\/blogs.duanemorris.com\/securitiesarbitration\/wp-json\/wp\/v2\/ppma_author?post=115"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}