AI Overtakes All Compliance Priorities for Investment Advisers in 2026
Event summary
- 85% of investment adviser firms identified AI as their top compliance priority in 2026, up 28 percentage points from 2025.
- 72% of firms increased compliance testing around AI, the largest year-over-year increase for any topic.
- 80% of firms have formally adopted AI tools, with 86% having acceptable use policies in place.
- Only 30% of firms have policies addressing third-party AI use, highlighting a regulatory gap.
The big picture
The 2026 IMCT Survey reveals a historic shift in compliance priorities for investment advisers, with AI surpassing all other concerns by an unprecedented margin. This reflects a broader industry move from awareness to action as firms formalize AI governance frameworks amid growing regulatory expectations. The survey underscores the dual challenge of managing emerging technology risks while maintaining adherence to traditional compliance obligations.
What we're watching
- Regulatory Alignment
- Whether firms can close gaps in human oversight and third-party AI policies before regulators tighten scrutiny.
- Governance Dynamics
- The pace at which firms establish formal AI governance committees and update incident response plans.
- Execution Risk
- How effectively firms balance emerging AI risks with core compliance obligations like advertising, books and records, and conflicts of interest.