Compliant Copilot for Finance
Banks, asset managers, and insurance companies face unique regulatory requirements. Client data, MNPI, and trading information require specialized AI governance.
The Regulatory Problem
Financial services face overlapping regulatory requirements. SEC, FINRA, state regulators, and international frameworks all impose data protection and recordkeeping obligations that Copilot must respect.
AI makes data discovery trivial. Information barriers that worked through organizational separation fail when any employee can query across data silos. Compliance requires technical controls, not just policies.
Financial Services Risks
Compliance Risk Scenarios
These scenarios create regulatory exposure in financial services Copilot deployments.
Client Data Cross-Contamination
Copilot surfaces one client portfolio information in response to queries about another client.
Mitigation
Client matter segregation, sensitivity labels, information barriers.
MNPI Exposure via AI
Research analyst findings surface to trading desk through Copilot queries.
Mitigation
Information barriers configured in Purview, restricted Copilot scope for trading.
Regulatory Inquiry Complications
AI-generated content expands scope of SEC examination or litigation discovery.
Mitigation
Retention policies, audit logging, legal hold procedures for AI content.
Our Approach
Financial Services Governance
Information barriers for MNPI protection
Client matter segregation and labeling
SEC 17a-4 compliant retention policies
Trading desk Copilot restrictions
Audit logging for regulatory inquiries
Financial Services Assessment
Our financial services assessment evaluates client data segregation, information barrier effectiveness, and regulatory compliance posture before Copilot deployment.
Financial AssessmentFinancial Services Copilot FAQ
Protect Client Data. Enable AI.
Let's discuss compliant Copilot deployment for your financial institution.
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