DKBinnovative

An AI governance policy isn't a one-page memo. For investment firms, a defensible policy has 12 specific sections - each one answering a question an SEC examiner or client could reasonably ask. From your tool inventory and vendor due diligence to recordkeeping integration and incident response, every section exists for a reason. We mapped all 12, the regulatory hook behind each one, and what needs to be in them. If you're building or auditing your policy, this is your checklist. https://na2.hubs.ly/H05Vrs30

5 years with DKB! Today, we're celebrating Keeshia Leopoldo's 5-year DKB-iversary!

As a key member of our offshore crew, Keeshia has been the backbone of our Licensing and Invoicing operations, bringing precision, reliability, and a steady hand to every task she takes on. The kind of work she does keeps our business running smoothly, and she does it with consistency and care, day in and day out.

Keeshia, your dedication over these five years has not gone unnoticed - it has made a real difference for our crew and for the clients we serve.

Here's to you and the next chapter ahead. Thank you for everything you bring to DKBinnovative! 🎉

If your advisers are using AI and your firm doesn't have a written governance policy, every one of those interactions is an unmanaged compliance event.

In 2026, that's not a risk you can afford. The SEC is watching. Reg S-P deadlines are here. The firms that get ahead of this now won't be scrambling later.

We broke down exactly what an AI governance policy covers, and why this is the year investment firms can no longer operate without one.

https://na2.hubs.ly/H05Vp1G0

At DKBinnovative, we operate as one team with one mission. We're growing our Professional Services Department right here in Frisco, TX, and we're looking for driven, technically sharp individuals who take extreme ownership of their work and are ready to make an impact from day one.

If you're humbly confident in your skills, tenacious in solving complex challenges, and ready to be part of a crew that genuinely invests in each other's success, we want to hear from you.

Check out our open positions below and take your next career step with a crew that's mission-ready:

IT Solutions Design Engineer
https://dkbinnovative.bamboohr.com/careers/24

Solutions Engineer III
https://dkbinnovative.bamboohr.com/careers/29

Is your investment firm using AI without a written governance policy?

Here's the uncomfortable truth: a firm using AI without a governing policy isn't avoiding regulation - it's just undocumented. And in 2026, that's a problem.

The SEC has no standalone "AI rule," but four existing rules already require you to govern it: the Compliance Rule, Regulation S-P (deadline June 3, 2026), the Marketing Rule, and the Books-and-Records Rule. Meanwhile, staff at most firms are already pasting client data into public chatbots — and examiners are paying attention.

In our latest blog, we break down the 12-section, SEC-ready AI governance template DKBinnovative uses to build defensible AI programs for investment firms across Plano, Frisco, Irving, and the broader DFW metroplex. Policy, platform, and oversight - typically deployed in 45 to 90 days.

If your firm is using AI without a written policy, now is the time to close the gap before your next exam does it for you.

Read the full guide:

AI Governance Policy for Investment Firms: The 2026 SEC-Ready Template What an investment firm's AI governance policy must contain in 2026 — a 12-section, SEC-ready template covering Reg S-P, oversight, and recordkeeping.

Where does your sensitive information actually live right now?

If the answer is scattered across emails, desktops, or spreadsheets - it's time for a better system. We partnered with LastPass to bring you the tips their team recommends, and tip #5 is a simple one: use your vault for everything sensitive, not just passwords.

When one of our financial services clients ran into a challenging provider management situation, DKB stepped in.

💬 "DKB stayed on top of this need the entire time. They did a great job keeping me informed of the status so that I could communicate back to our team in the office. I truly appreciate the efforts during a frustrating process dealing with this provider."

- Financial Services Client

Provider issues don't have to be your problem to solve alone. That's what we're here for. 🤝

Sharing a password shouldn't mean exposing it.

Tip #4 from our partnership with LastPass: share access without sharing the actual password, and revoke it whenever you need to. Secure for your team. Clean for your audit trail.

Our Employee of the Month for May is Candy Merrill! Since joining DKBinnovative in January, Candy has hit the ground running and never looked back!

In just a few short months, she has taken full ownership of our accounting and finance function, which has made an immediate impact across the organization.

Candy embodies what it means to Be Humble, Be Hungry, and Be Smart.

She digs in, asks the right questions, and gets things done, all with a positive attitude that makes her a joy to work with. Her work ethic and commitment to excellence are evident every single day, and we are grateful to have her on the team.

Please join us in congratulating Candy on this well-deserved recognition!

Today, we remember and honor those who made the ultimate sacrifice. 🇺🇸