Question 1

Who is ShieldAI built for?

Accepted Answer

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.

Question 2

What financial regulations do you cover?

Accepted Answer

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.

Question 3

Can it handle SEC examination requests?

Accepted Answer

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

Question 4

How does it handle material nonpublic information (MNPI)?

Accepted Answer

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.

Question 5

Do you integrate with our existing tools?

Accepted Answer

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.

Question 6

What about vendor due diligence?

Accepted Answer

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.

AI Compliance by Industry

Private Equity

Investment Management / RIAs

Banking & Credit Unions

Hedge Funds

Insurance

Fintech & Payments