Compliance Policy

Compliance Overview

AIHub is designed to support compliance with various financial regulations and industry standards. Our platform provides the tools and capabilities necessary to help your organization meet its regulatory obligations while leveraging the power of AI for financial operations.

This document outlines the key compliance frameworks that AIHub is designed to support, as well as the features and controls that help maintain compliance. It's important to note that while we provide the tools, ultimate compliance responsibility lies with your organization in how you configure and use our platform.

Financial Regulations

The AIHub platform is designed with key financial regulations in mind:

Regulatory Frameworks

Our platform includes features to help support compliance with these frameworks, such as:

• Comprehensive audit logging of all system activities and decisions with tamper-proof verification
• Model documentation and explainability tools to satisfy enhanced regulatory requirements
• AI-specific risk controls to maintain appropriate oversight of automated systems
• Advanced reporting capabilities to satisfy real-time regulatory filing requirements
• Transparency in algorithm operations with detailed logging and decision tracking
• Automated regulatory disclosure generation for AI systems
• Financial crime detection features with advanced AML/KYC capabilities
• Market abuse monitoring and prevention tools

Data Privacy Compliance

AIHub includes features to help maintain compliance with data privacy regulations:

Privacy Frameworks

• GDPR (General Data Protection Regulation) - The platform includes comprehensive tools for data minimization, purpose limitation, right to be forgotten, data portability and protection by design and default. Our system is fully compatible with the 2023 GDPR amendments and the 2024 AI governance extensions for automated processing systems.
• CCPA/CPRA (California Privacy Rights Act) - Features to support consumer data rights and tracking of personal information
• GLBA (Gramm-Leach-Bliley Act) - Controls for safeguarding financial data and protecting consumer privacy
• PIPEDA (Personal Information Protection and Electronic Documents Act) - Support for Canadian privacy requirements

Key data privacy features in AIHub include:

• Data minimization and anonymization capabilities
• Ability to implement appropriate retention policies
• Consent management tools with audit trails for consent changes
• Data subject request handling with automated workflows
• Privacy impact assessment frameworks with governance documentation
• Local data processing to minimize data transfers
• Advanced legitimate interest assessment tools
• Cross-border data transfer management compliant with EU SCCs 2024 revision
• AI transparency records maintaining explanations of algorithmic decisions
• Data deletion verification with cryptographic attestation

Since AIHub runs on your hardware and keeps data local, many privacy concerns related to third-party data processing are eliminated. This architecture also helps address data sovereignty requirements in jurisdictions with strict data localization laws.

Security Standards

AIHub aligns with international security standards to protect sensitive financial data:

Security Frameworks

• ISO 27001:2024 - Updated information security management system standards with AI-specific controls
• NIST Cybersecurity Framework 2.0 - Enhanced guidelines for managing and reducing cybersecurity risk, including AI-specific components
• SOC 2 + AI - Security, availability, processing integrity, confidentiality, and privacy controls with AI assurance
• PCI DSS v4.1 - For implementations handling payment card data with specific provisions for AI systems
• DORA (EU Digital Operational Resilience Act) - Compliance with ICT risk management requirements for financial entities
• Zero Trust Architecture - Implementation of NIST 800-207 principles for secure AI operations

The platform implements security controls aligned with these standards, including:

• Robust access controls with role-based permissions and continuous authentication
• End-to-end encryption for data at rest and in transit with post-quantum cryptography options
• Comprehensive security monitoring and logging with AI-powered threat detection
• Regular security assessments and vulnerability management with automated pentesting
• Incident response capabilities with AI-assisted forensics
• Business continuity and disaster recovery features with rapid recovery guarantees
• Supply chain security controls for model dependencies
• Advanced protections against AI-specific threats including model poisoning and prompt injection
• Secure AI model deployment lifecycle management

For more detailed information about our security practices, please see our Security Policy.

AI Ethics and Governance

AIHub adheres to responsible AI principles and emerging frameworks for AI governance:

AI Frameworks

• EU AI Act (2024) - Full compliance with the enacted requirements for high-risk AI systems in financial services, including transparency, risk assessment, human oversight, and robustness requirements
• US AI Executive Order Requirements - Adherence to the federal guidelines for AI safety and security implemented through the National AI Safety Institute
• NIST AI Risk Management Framework 2.0 - Comprehensive implementation of updated guidelines for managing risks in AI development and deployment
• IEEE 7000 Series Standards - Alignment with ethical considerations for autonomous and intelligent systems
• ISO/IEC 42001:2023 - Compliance with the international standard for AI management systems
• OECD AI Principles and Certification Framework - Implementation of international standards for responsible AI and their certification methods

Our platform incorporates the following features to support ethical AI use:

• Model explainability tools to understand AI decision-making with counterfactual explanations
• Bias detection and mitigation capabilities including pre-deployment fairness testing
• Regular model validation and testing frameworks with automated model cards
• Comprehensive audit trails for model development, training, and deployment
• Human oversight mechanisms with clear escalation paths for critical decisions
• Continuous monitoring of model performance, fairness metrics, and concept drift
• AI impact assessments in line with EU AI Act requirements
• AI incident response protocols and reporting mechanisms
• Foundation model safety evaluations and alignment verification
• Compliance with financial-specific AI transparency requirements

These tools help ensure that AI systems developed and deployed on AIHub align with ethical principles and the latest regulatory requirements. Our platform is regularly updated to maintain compliance with evolving AI governance frameworks.

Audit Controls

AIHub provides comprehensive audit controls to support compliance verification:

• Immutable audit logs of all system activities
• Detailed records of access, modifications, and system events
• Audit trail of model development, training, and deployment
• Documentation of system configuration changes
• User activity monitoring and reporting
• Customizable audit reports for regulatory review

These audit controls enable your organization to demonstrate compliance with regulatory requirements and internal policies. The platform maintains the integrity of audit data through cryptographic verification and protections against tampering.

Risk Management

Effective risk management is essential for regulatory compliance in financial services. AIHub provides tools to help manage various types of risks:

Risk Management Features

• Model Risk - Validation frameworks, model documentation, and performance monitoring
• Operational Risk - Process controls, error handling, and operational resilience
• Compliance Risk - Rule-based monitoring, regulatory reporting, and policy enforcement
• Security Risk - Threat monitoring, vulnerability management, and security controls

The platform enables a structured approach to risk management with:

• Risk assessment frameworks and documentation
• Automated monitoring of risk indicators
• Alert mechanisms for risk threshold violations
• Control effectiveness testing
• Risk reporting and dashboards
• Incident management and remediation tracking

Compliance Updates

Regulatory requirements are constantly evolving, and AIHub is designed to adapt accordingly:

• Quarterly platform updates to address new regulatory requirements, with emergency patches for critical compliance changes
• Proactive compliance advisory notifications about relevant regulatory changes via our secure compliance portal
• Dynamic compliance controls that can adapt to new requirements through policy-as-code implementation
• Comprehensive documentation updates with version control to reflect changing best practices
• Backward compatibility to support transitional compliance periods with dual-mode operation during regulatory transitions
• Regulatory horizon scanning to anticipate upcoming changes in AI and financial regulations
• Participation in regulatory sandboxes and consultation processes to shape future standards
• Automated regulatory change impact assessments for your specific implementation

Our development roadmap prioritizes emerging compliance requirements to help your organization stay ahead of regulatory changes in the financial industry. For 2025-2026, we are closely monitoring developments in quantum-resistant cryptography requirements, synthetic data regulations, and global AI governance standards.

Certifications

While specific certifications depend on how you implement and use AIHub, the platform is designed to support the following certification frameworks:

• ISO 27001:2024 - Information security management systems with the AI security extension
• SOC 2 + AI - Trust service criteria for security, availability, confidentiality with AI controls
• PCI DSS v4.1 - For implementations handling payment card data with AI processing
• HIPAA - For implementations involving healthcare financial data
• ISO/IEC 42001:2023 - AI management system certification
• EU AI Act Conformity Assessment - For high-risk AI systems in financial services
• DORA Compliance Certification - For digital operational resilience in EU financial services
• Global Privacy Framework Certification - For demonstrating privacy compliance across jurisdictions

Our platform includes pre-configured control sets mapped to these certification frameworks, along with assessment tools and documentation templates to streamline your certification process. We also maintain a network of certification partners who are familiar with AIHub implementations and can provide specialized guidance for your compliance needs.

Client Responsibilities

While AIHub provides the tools and capabilities for compliance, your organization maintains certain responsibilities:

• Properly configuring the platform according to your regulatory requirements
• Establishing appropriate policies and procedures for platform use
• Maintaining appropriate oversight of AI models and their outputs
• Conducting regular compliance assessments and audits
• Keeping your implementation updated with security patches
• Training staff on compliant use of the platform
• Documenting your compliance approach and controls

We recommend working with your compliance and legal teams to ensure that your implementation of AIHub aligns with your specific regulatory obligations.

Contact Information

For compliance-related questions, guidance, or concerns, please contact: