AIGRaaS
Use Case

Financial Services

PCI DSS and FINRA compliance for AI financial advisors

Financial AI must never give specific investment advice, disclose account details inappropriately, or make guarantees. AIGRaaS enforces regulatory boundaries deterministically.

78%

Top 50 banks using AI

$67.4B

Hallucination losses (2024)

FINRA

25-07 compliance ready

The problem

AI advisor gave specific stock recommendations

Chatbot disclosed account information to wrong user session

FINRA 25-07 requires AI outputs treated as business records

No way to prove compliant AI interactions to auditors

The AIGRaaS solution

Pre-built PCI DSS and FINRA compliance modules

Blocks investment advice, account disclosure, and financial guarantees

Full evaluation audit trail satisfying FINRA record-keeping requirements

Deterministic evaluation — no LLM judge that can be manipulated

How AIGRaaS fits your stack

Step 1

Advisor AI replies

Your financial advisor bot generates a customer response.

Step 2

AIGRaaS FINRA module

Blocks investment advice, account disclosure, and guaranteed-return claims.

Step 3

Client receives response

Approved responses flow through; violations get compliance-safe redirects.

Step 4

Immutable audit record

Every evaluation stored in FINRA 25-07 business-record format, signed.

The ruleset we recommend

Start with this configuration — refine for your specific requirements.

fintech-finra.json
{
  "name": "fintech-advisor-v1",
  "mode": "pre-delivery",
  "compliance": ["finra-25-07", "pci-dss", "sec-17a-4"],
  "harm": {
    "investment_advice": { "block": true, "severity": "critical" },
    "account_disclosure": { "block": true, "severity": "critical" },
    "financial_guarantees": { "block": true, "severity": "high" },
    "return_predictions": { "block": true, "severity": "high" }
  },
  "audit": {
    "retention_days": 2555,
    "format": "finra_record",
    "signed": true
  }
}

Compliance mapping

RegulationRequirementAIGRaaS module
FINRA 25-07AI outputs treated as business recordsFINRA-format audit trail, 7-year retention
SEC Rule 17a-4Records retention, integrity, accessibilityAppend-only storage, cryptographic signing
PCI DSS 3.4Cardholder data protectionAccount data blocking + PII masking
FINRA 2210Communications with the public standardsInvestment advice and guarantee blockers

Questions we get

Learn more about the capability that powers this use case:

Compliance Modules

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