Northern Catalyst Toolkit
Compliance Conversation Kit
Getting AI Approved at Your Firm
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You know AI can help. Your compliance officer needs convincing.
You've seen what AI tools can do for your practice — better documentation, faster notes, more time with clients. But between CIRO requirements, PIPEDA obligations, and your firm's internal policies, getting approval feels like navigating a maze without a map.
The challenge isn't that compliance officers are against AI adoption. It's that they need the right information, presented in the right way, with the right context. Most advisors don't know how to frame the conversation.
This kit gives you the language, the frameworks, and the templates to make the case effectively — for any AI tool, not just ours.
What's Inside
6 tools designed to move your firm from "we'll look into it" to "let's set up a pilot."
Kit Overview & Quick-Start Guide
Start here. A component map and decision tree to help you use the kit effectively.
"What Your Compliance Officer Needs to Say Yes" Framework
A structured approach to building the compliance case for AI adoption at your firm.
Business Case Template for AI Tool Adoption
Fill-in-the-blank template that speaks compliance language, ready for internal presentation.
Vendor Evaluation Checklist
Canadian-specific criteria for evaluating AI tools against CIRO, PIPEDA, and provincial regulatory requirements.
Conversation Preparation Guide
Actual language for internal advocacy: what to say, what to avoid, and how to frame the conversation with compliance teams.
Compliance Meeting Agenda Template
Pre-structured agenda that covers all the compliance officer touchpoints for an AI tool approval meeting.
Built for Canadian Financial Advisors
You want to adopt AI tools but need compliance sign-off
Your firm has internal approval processes for new technology
You need to speak compliance language to get buy-in
You want a structured approach instead of ad-hoc conversations
Ready to have a better conversation with compliance?
Everything you need to have a productive conversation with your compliance team, in one kit.
We don't share your email. Ever.
Free download. No credit card required.
These tools support your professional judgment and compliance process. They are not substitutes for legal or compliance advice. Review with your compliance officer before implementation.