ThirdNexa · Controlled rollout
Your vendors are adopting AI. Do you know what that means for your firm?
Organize AI vendor inventory, risk reviews, firm decisions and ongoing follow-up alongside your existing vendor records.
Staff enablement is required for each firm. Signed-in workflow verification is still in progress; choosing a plan does not automatically enable AI oversight.
No credit card to start. The trial does not automatically enable separately controlled modules.
For RIAs, broker-dealers, hybrid firms, hedge funds, private equity and asset managers. ThirdNexa organizes oversight evidence; it does not determine compliance, provide legal advice or replace your firm's judgment.
Inside the staff-enabled workflow
Record distinct AI systems under the vendors you already track: providers, models, business purposes, owners and verification dates. Keep Yes, No and Unknown answers explicit rather than treating missing information as reassurance.
Vendor → AI systems → owner & review date
Document customer-information processing, data retention, model-training policies and AI subprocessors. Link AI due diligence questionnaires and supporting documents to the relevant vendor and system.
Data-use answers → questionnaire → source evidence
Use deterministic inherent and residual assessments across six AI risk categories, with transparent weights, unknown-answer safeguards and documented reviewer overrides. AI ratings remain separate from ordinary vendor tiers.
Recorded answers → separate AI rating → reviewer rationale
Authorized reviewers record AI use decisions, reasons, conditions and evidence. Preserve dated decision history and assign remediation owners and deadlines. A risk score never approves AI use or changes the vendor's approval status.
Reviewer decision → evidence → owned follow-up
Your team records material AI changes and their sources, assigns reviewers and tracks actions and reassessment dates. Filter recorded changes, open alerts and overdue follow-ups in the AI oversight dashboard. External vendor changes are not automatically discovered.
Recorded change → alert → action & reassessment
Preserve AI decision history, approvers, linked evidence and current follow-up in vendor examination reports. Review contract provisions with cited sources and human-recorded conclusions. Historical decisions and current remediation are labeled separately.
Dated history → linked evidence → vendor report
Evidence, not regulatory conclusions
Document relevant Regulation S-P, Regulation S-ID, adviser and broker-dealer references alongside contract reviews. Binding rules and voluntary NIST guidance are distinguished; your firm determines applicability. AI governance is not represented as a universally mandated standalone SEC program.
Explore regulatory referencesA separate, fictional public demo
Try the internal AI Use Register, coverage view and sample evidence pack with made-up records. This is not the AI Vendor Oversight workspace, and it never accesses customer records.
Open fictional AI use demoAI oversight has a separate staff-controlled availability switch. Current plan prices, vendor allowances and existing subscription terms are unchanged. Contact us before relying on availability for a new workspace.
