Financial Services
AI Governance That Satisfies Your Regulators — Not Just Your Board
Financial services has the highest AI adoption rate (87%) and the most stringent regulatory requirements. Tokra provides the audit trails and controls that SEC, FINRA, OCC, and FCA expect.
The challenge
What keeps you up at night
Regulatory compliance gaps
Financial regulators require firms to demonstrate control over data flows, including AI interactions. An analyst pasting client portfolio data into ChatGPT creates a compliance violation.
Client data in AI prompts
Portfolio managers, analysts, and advisors routinely send client financial data to AI tools for analysis, summary, and reporting — with no DPA in place.
Zero tolerance for ungoverned data
Banks, asset managers, and insurance companies face enforcement action for ungoverned data flows. The regulatory penalty for AI-related data exposure is severe.
How Tokra solves it
Your AI governance layer
Compliance reporting
Pre-built reports aligned with SOC 2, HIPAA, GDPR, and EU AI Act. Document AI usage controls for regulators automatically.
Content filtering
Block PII, financial data, and client names from reaching unapproved AI providers. Content sensitivity scoring flags high-risk interactions.
Full audit trail
Complete record of what data was sent to which AI tools — the audit trail SEC, FINRA, and OCC auditors expect.
AI adoption rate in financial services — highest of any industry
See Tokra in action
Book a personalized demo to see how Tokra can help your team govern AI usage at the device level.