Regulatory Compliance for AI Use
SEC Regulation S-P and FINRA Rule 3110 create compliance obligations when AI touches customer financial information. Internal Q deployments must be clearly scoped to operational use, not customer-facing advice.
Amazon Q for Business
Amazon Q for Business in Financial Services
We deploy Amazon Q for Business for fintech and financial services internal operations — enabling compliance, operations, and risk teams to find answers in policy documents and regulatory guides, without creating AI-based financial advice liabilities.
- A use case is scoped against real data.
- The model runs on Amazon Bedrock.
- A knowledge path retrieves from your sources.
- Guardrails apply policy and filters before output leaves.
- A named owner reviews anything that reaches customers or records.
- The feature ships inside the existing application.
Key Challenges We Solve
Compliance Policy Complexity
Financial services compliance teams manage thousands of pages of policy documents, regulatory guidance, and procedure manuals. Q can dramatically reduce time spent searching for the right policy reference.
FINRA Supervision Requirements
FINRA-registered firms using AI tools for broker-dealer operations must maintain supervisory procedures covering AI use. Q deployments need documented governance frameworks.
Data Classification for AI Access
Financial institutions have strict data classification policies. Q data sources must respect these classifications — ensuring material non-public information (MNPI) and customer PII are appropriately restricted.
Our Approach
Internal Operations-Scoped Q Deployment
Q connected to compliance manuals, operations procedures, and regulatory guidance libraries — explicitly scoped to internal operational use with no customer-facing AI advice capability.
Data Classification Access Controls
Document access controls mapped to employee roles and data classification tiers — MNPI-classified documents blocked from Q access, customer PII documents restricted to authorized compliance roles.
FINRA Supervision Documentation
Written supervisory procedures (WSPs) for Q usage, CloudTrail audit log retention configured for FINRA examination requirements, and Q usage monitoring reports for compliance review.
Frequently Asked Questions
Can Amazon Q give financial advice to our customers?
Amazon Q for Business is designed for internal enterprise use, not customer-facing financial advice. Customer-facing AI that provides personalized financial advice is subject to SEC investment advisor regulations, FINRA suitability rules, and state securities laws. We deploy Q strictly for internal operations and provide Amazon Bedrock-based solutions for customer-facing interactions with appropriate compliance controls.
How do we ensure Q doesn't access material non-public information?
We configure Q data sources to exclude repositories classified as MNPI — typically investment banking deal documents, pre-announcement earnings data, and M&A documents. AWS IAM Identity Center roles for Q access are separate from roles with MNPI system access. Document repositories containing MNPI are explicitly excluded from Q connector configurations.
What FINRA documentation is needed for Q deployment?
For broker-dealer Q deployments, we document: (1) the specific use cases Q is authorized for, (2) which document repositories Q can access, (3) how Q-generated responses are reviewed before reliance, and (4) training for staff on appropriate Q use. This documentation becomes part of your Written Supervisory Procedures (WSPs) and supports FINRA examination readiness.
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