Who is ShieldAI built for?

Compliance officers, CISOs, and GCs at financial services firms — banks, PE firms, hedge funds, RIAs, insurance companies, and fintechs. Anyone responsible for vetting AI tools that touch client data or regulated information.

What financial regulations do you cover?

SOC 2, SOX, GLBA, FINRA rules (3110, 3120), SEC guidance on AI use, CCPA, GDPR, and the EU AI Act. Enterprise plans support custom frameworks for internal policies and state regulations.

Can it handle SEC examination requests?

Yes. Every action is logged with timestamps, users, and rationale. Export full audit trails as PDF or CSV — formatted for SEC and FINRA examiners.

How does it handle material nonpublic information (MNPI)?

ShieldAI flags any AI tool that could access or process MNPI. Tools with MNPI exposure are auto-escalated to high-risk review with mandatory compliance officer sign-off.

Do you integrate with our existing tools?

Professional plans include Slack, Microsoft Teams, Jira, and ServiceNow integrations. Enterprise plans get API access for connecting to internal compliance systems, deal management platforms, and portfolio tools.

What about vendor due diligence?

ShieldAI auto-enriches vendor data — SOC 2 reports, data residency, sub-processors, breach history, and terms of service analysis. Replaces the manual DDQ process for AI vendors.

SEC AI Examination Priorities for 2026

The SEC's Division of Examinations has made AI governance a priority for 2026. If you're a registered investment adviser, broker-dealer, or fund, expect questions about how your firm uses and governs AI tools.

What Examiners Will Ask

Based on SEC guidance and recent enforcement actions, expect these areas of inquiry:

AI Tool Inventory

What AI tools does your firm use?
Who approved them?
What data do they access?
Where is the documentation?

Policies and Procedures

Do you have an AI acceptable use policy?
How are new AI tools evaluated before adoption?
Who is responsible for AI governance?
How do you handle unapproved tools?

Client Data Protection

Which AI tools access client PII or financial data?
What are the vendor's data handling practices?
Is client data used for model training?
Where is data processed and stored?

Conflicts of Interest

Do AI tools create conflicts (e.g., AI recommending products where the firm has a financial interest)?
How are AI-generated recommendations reviewed before reaching clients?
Is there human oversight of AI-driven decisions?

Disclosures

Have you disclosed AI use to clients where required?
Are marketing materials generated by AI reviewed for compliance?
Do clients know when they're interacting with AI?

How to Prepare

Step 1: Inventory

Create a complete registry of every AI tool used across the firm. Include: tool name, vendor, use case, data access, approval status, responsible person.

Step 2: Policies

Implement an AI acceptable use policy covering: approved tools, prohibited uses, data classification, approval process, monitoring.

Step 3: Process

Build an auditable approval workflow for new AI tool requests. Every request, review, and decision should be logged with timestamps and rationale.

Step 4: Audit Trail

Ensure you can produce documentation on demand. Examiners won't accept "we handle it informally."

Step 5: Ongoing Monitoring

AI governance isn't set-and-forget. Monitor approved tools for vendor changes, new risks, and compliance drift.

ShieldAI automates SEC examination readiness for AI governance →