Financial Services
Supervision, records, and a regulator who will ask.
In a supervised firm, the question is never only whether a control exists. It is whether you can show, at a later date, that it was in force at the time, what it covered, and who reviewed the exceptions. AI tooling adds new communication and content surfaces to that obligation.
What is already true here
- Communications capture and supervision obligations
- Records retention with defined immutability requirements
- Examination and audit requests that ask what was true at a past date
- Material non-public information that must not move sideways
- Third-party and vendor risk obligations
- Change control expectations that do not tolerate undocumented changes
What we do about it
- Microsoft Purview records, retention, and communication compliance configuration
- Information barrier design for material non-public information
- Entra identity, privileged access, and Conditional Access review
- Evidence packs that show configuration state and change history
- Governance review before AI capability is extended to supervised communication
On what this page claims
Everything above describes conditions that are true of Financial Services before we are involved. None of it asserts that we have served a named customer in this sector. Where we have customer evidence it is published separately, with the class of evidence stated alongside it.