RICS Expands Early Access for AI-Driven Compliance Platform

The expansion allows additional investment advisers to integrate the technology before its general market release. The platform, protected by U.S. Patent No. 12,217,271, functions by pairing agentic AI with human oversight to manage the review process from planning through documentation. By automating these workflows, the software aims to shift the focus of Chief Compliance Officers from manual auditing to higher-risk strategic oversight.

Donna Sardanopoli, President and CEO of RICS, noted that the extension provides the firm time to refine the platform alongside current participants. Paula Bosco, CEO of GAIA | RIA, emphasized that the tool is intended to reclaim the weeks typically lost to administrative compliance burdens. Beyond the specific 206(4)-7 application, RICS continues to license its core GAIA technology for broader industry use, offering advisory services that include AI governance and strategic roadmapping for financial firms.