📈 For Financial Services

Regulators Are Asking About AI.
What's Your Answer?

Prompt Fence documents your AI supervision controls for SEC, FINRA, and state examinations. Audit trail included.

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The Regulatory Pressure Is Real

SEC and FINRA have made AI supervision an examination priority.

SEC

Marketing Rule Focus

Examinations now include questions about AI-generated content and supervision procedures.

FINRA

Regulatory Notice 24-09

Firms must supervise AI tools and maintain books and records of AI-assisted work.

State Regulators

Following Federal Lead

Expect AI questions in state examinations, especially in active enforcement states.

When Examiners Ask About AI

Here's what they want to hear — and what you'll say with Prompt Fence.

Common Examination Questions

"What policies do you have governing AI use?"
"We have written AI acceptable use policies. Here's a copy. Employees acknowledge annually."
"What technical controls prevent client data from being entered into AI?"
"We use Prompt Fence, which blocks sensitive data patterns and logs all AI interactions. Here's our dashboard."
"Can you produce records of AI-assisted work?"
"Yes. Here's an export of AI interactions for the examination period, filtered by user/date/platform."
"How do you supervise AI-assisted communications?"
"Compliance reviews AI logs weekly via our Prompt Fence dashboard. Here are our review records."

Built for Financial Services Compliance

Satisfies supervision and books & records requirements.

Requirement How Prompt Fence Helps
SEC Books & Records Audit log of all AI interactions with timestamps and user attribution
FINRA Supervision (Rule 3110) Dashboard for compliance review and supervision documentation
Reg S-P (Privacy) Blocks NPI and client identifiers from AI exposure
Marketing Rule Documents review process for AI-assisted marketing content
Written Supervisory Procedures Technical enforcement layer that backs up your WSPs

Who Needs Prompt Fence?

Any firm where advisors have access to AI tools.

RIAs / Investment Advisers

Client communications, portfolio summaries, financial plans. Keep client data out of ChatGPT.

Broker-Dealers

Registered rep communications require supervision. AI-assisted communications are no different.

Financial Planners

Detailed client financial information. High trust required. Document that you're protecting it.

Insurance Agencies

Policy details, health information, financial data. Similar regulatory pressure, same solution.

Your Next Exam Will Ask About AI

Don't scramble to document controls after the examination letter arrives.

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