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5 steps to add guardrails for AI in financial services
The steps below outline how to deliver leading AI assistants in full compliance with your financial regulatory obligations.
1. Establish a secure data perimeter
Deploy an AI portal into your own cloud infrastructure so that sensitive data never leaves your defined security perimeter.
Keep sensitive data on your network
Block or filter requests that cross your data boundary
Keep sensitive data on-device where possible
2. Auto-redact sensitive information
Detect & redact sensitive data in user prompts before submission to external AI models.
Establish filtering rules for sensitive data
Include notices when sensitive data is detected
Regularly review filtering rules & performance
3. Maintain an audit trail
Maintain historical prompt records for your audits and compliance.
Maintain private prompt logs with recorded audit access
Include user, group, and policy-level permissions
Automatically categorize & flag prompts when misuse is detected
4. Require login
Provision and manage access using your existing single sign-on tools.
Do not use consumer tools like chatgpt.com or copilot.com that allow usage without login
Use your internal SSO provider, such as M365, Azure AD, Entra ID, Okta, or SAML
Provision AI model access by user, group, and policy (geo-location, IP range, etc.)
5. Host it on your network
Host your AI portal and, where possible, AI models on your own secure network.
Keep sensitive data within your secure cloud
Deploy your own ChatGPT models on Azure
Maintain stricter filtering rules for external AI (SaaS) than for internal AI (self-hosted)
6. Learn more about your options
Discuss how you can meet your financial regulatory obligations while delivering the latest AI assistants for your organization.
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Give your team the latest AI assistants in full compliance with your financial regulatory obligations.
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