The duty you carry
A client's holdings, a pending transaction, an account number in a reconciliation note: financial data is identifying, material, and regulated all at once. Privacy law treats financial records as sensitive; regulators expect documented control over where client data flows, including to technology providers staff adopt on their own; and material non-public information carries its own rules the moment it reaches an outside service. "The tool seemed helpful" is not a control framework — a logged, prompt-level safeguard is.
The moment it breaks
Synthetic example. The real version happens on your busiest day.
The review gets drafted. The client, the account, and the position never leave the firm — and the event is logged for your next compliance review.
Caught, in your vocabulary
Client identities and contacts
Names, emails, and household details that connect a prompt to a client file.
Account and payment numbers
Account, card, and transit numbers riding along in notes, statements, and reconciliations.
Holdings, transactions, and deal terms
Positions, pending trades, and the material non-public information markets care about.
The rules you answer to
PIPEDA and provincial privacy law
Financial records are personal information with heightened sensitivity. Safeguards must be demonstrable, not assumed.
Regulator guidance on technology risk
Supervisors expect documented oversight of where client data flows — including the AI tools employees reach for without asking.
Market conduct and MNPI
Material non-public information in a public AI tool is disclosure you can't take back. Catching it at the prompt is the control.
From our research
The AI Controls Investors Now Probe in Technical Diligence
Technical diligence used to stop at your codebase and cloud posture. Now investors ask how your engineers use AI, because an uncontrolled prompt can quietly move your crown-jewel IP outside your control before the deal closes.
Your Valuation Is Your IP, and It Can Leave One Paste at a Time
For deep-tech and biotech companies, the balance sheet is the technology. When an engineer pastes source code or a draft claim into a public AI tool, the value backing your next round can quietly walk out the door.
What IBM's 2025 Breach Data Says About the Real Cost of Shadow AI
IBM's 2025 breach report puts a number on Shadow AI: breaches involving it cost roughly $670K more, and almost no affected organization had controls to stop sensitive data at the point of entry. Here is what that means for the board.
Compliance standards that apply
Also built for
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