AI Data Security · Financial Institutions
How Do You Show Proof of
AI Governance When the
SEC Asks?
Sanctioned AI, shadow AI and autonomous agents are already moving client records, trading data and privileged deal information through your institution.
Talk to an AI Security Expert
Why Now
Financial Services AI Adoption
Has Outrun Governance
Banks, broker-dealers, wealth managers and insurers run sanctioned AI across the front, middle and back office, usually faster than compliance can track. The data it moves is specific: client PII, trading records, underwriting files, M&A information and proprietary model code, already inside the production workflows your institution is examined on.
- •69% of organizations suspect or have evidence that employees are using prohibited public GenAI. (Source: Gartner)
- •57% of employees have entered confidential company data into a public AI tool.
- •37 AI agents is the average number an organization now runs, many of them unknown to security.
Where the Exposure Actually Lives
Three AI Channels Your Governance Has Never Seen in One Place
Sanctioned platforms, unapproved tools and autonomous agents each create a different kind of exposure, and each needs to be governed on the classification policy your institution already built, not a separate one bolted on for AI.
Copilot and ChatGPT Are Inside Your Client Data
Every prompt and file upload in your enterprise AI tools moves financial records through channels your DLP was never extended to inspect. .
Personal AI Accounts Are Already on Your Trading Floor
Consumer AI spreads through legitimate productivity, not defiance. Without an inventory, there is no way to know which moments exposed data that should never have left the building.
Agents Connect Directly to Your Systems of Record
Agents call Salesforce, Microsoft 365 and core systems directly with standing credentials no proxy or endpoint tool was built to inspect.
Regulatory Proof
Hand Over Hard Evidence, Not a Story
For financial institutions, AI governance is no longer a security initiative compliance hears about afterward. SEC AI disclosure expectations, DORA, NIS2, GDPR and the EU AI Act have made it a board-level, examinable obligation, and most institutions cannot yet produce the record.
What a Regulator, Auditor or Board Asks For
The questions an examiner, auditor or board will ask about AI governance and the evidence they expect in response.
What the Platform Produces
The closed-loop record Forcepoint generates for each question, exportable in CSV, JSON or PDF and forwardable to your SIEM.
Coverage varies by framework and by deal scope. Mapping the export to the specific article or field your regulator will cite, rather than a named list of frameworks, is worked through with a compliance specialist against your actual obligations.
Evaluation Questions
Most Vendors Show a Dashboard. Few Show an Enforcement Action
Before naming a vendor, financial institutions are better served asking the architecture questions directly. The category has largely converged on visibility. It has not converged on enforcement.
Before or After the Request
Is data classified before AI reaches it, or only inspected after a prompt has already been sent?
How Deep Does Protection Go?
Does coverage stop at the network edge, or does it reach API-based sanctioned AI and agent-to-application calls a proxy never sees?
Automated Action or Manual Review
Is the response inline enforcement, or a posture report someone has to act on later?
Agent Identity and Access
When an agent calls a business application, does it hold that application's credential directly, or is the credential brokered so a compromised agent cannot authenticate on its own?
Extend Existing Controls or Start Over
Does extending coverage to AI require a new classification taxonomy, or does it inherit the one your institution has already spent years tuning?
Discovery without control is just a risk report. Classification without enforcement is a report, too. The deal is decided on what actually stops data from leaving.
Why It Works
Built on Your Existing Classification. Live in Under 60 Minutes.
Zero reclassification, nothing
to rebuild
Existing DLP taxonomy, including financial-data classifiers such as PAN, account numbers and trading records, alongside PII, source code and credentials, extends to every AI channel automatically. No new taxonomy. No retrained classifiers.
Guided by ARIA, under 60 minutes from first login
Forcepoint's onboarding assistant walks an admin from first login to a governed AI environment in under 60 minutes, with no professional services engagement, and recommends a starting policy set based on region, industry and data sensitivity.
Backfilled, not blank; one record from day one
Historical backfill surfaces AI activity that happened before the connector went live, so the dashboard, and the audit trail, is not starting from zero the day it is turned on.
In the Field
Extending Forcepoint to AI in financial services: Mariner Finance.
AI Data Security · Financial Institutions
See What You Could Show a Regulator Tomorrow
A populated dashboard on day one, not a slide deck: your sanctioned AI, your shadow AI and your agents,
on one policy, one console and one audit trail.