📈 For Financial Services

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

PromptFence 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 PromptFence.

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 PromptFence, which blocks sensitive data patterns and logs all AI interactions. Our Smart Redaction feature automatically removes client names, account numbers, and SSNs before prompts reach AI. 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 PromptFence dashboard. Here are our review records."

Supports Financial Services Compliance Efforts

PromptFence provides controls that can help address AI-related compliance risks.

Requirement	How PromptFence Can Help
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

Disclaimer: PromptFence is a security tool, not a compliance certification. Firms should consult qualified compliance professionals to determine how PromptFence fits into their overall compliance program.

Who Needs PromptFence?

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.

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