What are the next steps for AI compliance?
Your Next Steps
Three Prioritized Next Steps
Determine if you serve Quebec clients. If yes, Law 25 obligations apply to your AI tool use. One question, significant implications.
Evaluate your current AI tool use against the framework in Chapter 6. If you are already using personal AI tools (and most advisors are), run them through the five evaluation areas.
Prepare for the compliance conversation. Bring the evaluation framework and your assessment to your compliance officer. Demonstrate regulatory awareness, not just a tool preference.
Canadian AI Compliance Checklist for Financial Advisors
The evaluation framework from this guide, condensed into a practical reference PDF. Five regulatory areas. Specific questions for each. Use it for any AI tool you evaluate.
- PIPEDA compliance checks
- Quebec Law 25 applicability assessment
- CIRO/CSA alignment criteria
- Cross-border data assessment questions
- Vendor due diligence checklist
Careful evaluation is professional judgment. It always has been.
When CIRO, PIPEDA, or Law 25 changes, the Dispatch explains what it means.
Once a month: what is changing across CIRO, PIPEDA, and Quebec Law 25, and what it means for advisors using AI tools. A five-minute read.
Subscribe, freeDisclaimer: Technical implementation based on published standards. Legal compliance review recommended. This guide is educational content based on published regulatory sources as of February 2026. It does not constitute legal, compliance, or financial advice. Review specific compliance decisions with your compliance officer and qualified legal counsel before implementation.