AI Governance for Financial Services
Deploy AI for credit decisioning, fraud detection, and advisory services while maintaining complete regulatory compliance. Generate audit-ready evidence that satisfies MiFID II, Basel III, and EU AI Act requirements.
~65%
Reduction in manual review hours
100%
Decision audit coverage
<5min
Evidence pack generation
10yr
Audit trail retention
*Stats represent anonymized 2025 pilot outcomes (n=4). Directional only.
Industry Challenges
Financial services face unique AI governance requirements driven by regulatory expectations and fiduciary duties.
Prove AI fairness in lending decisions
Demonstrate non-discrimination in credit scoring, loan approvals, and pricing decisions with documented evidence.
Document model risk management
Maintain comprehensive records of model validation, performance monitoring, and governance controls.
Meet Basel III operational risk expectations
Provide evidence of effective AI governance as part of operational risk capital calculations.
Ensure GDPR compliance for AI decisions
Enable subject access requests and provide explanations for automated decisions affecting customers.
KLA Digital Solution
Purpose-built AI governance that integrates with existing model risk management frameworks.
Automated MiFID II compliance reports
Generate best execution evidence and suitability documentation automatically from AI decision trails.
Real-time bias detection and alerting
Monitor AI decisions for fairness across protected characteristics with immediate alerts on drift.
Complete audit trail for every decision
Cryptographically signed evidence of inputs, outputs, model versions, and human interventions.
Human-in-the-loop for high-risk transactions
Configurable approval workflows ensuring human oversight for credit decisions above thresholds.
Regulatory Coverage
Pre-configured compliance frameworks for financial services regulations.
MiFID II
Best execution and suitability evidence
Basel III
Operational risk documentation
DORA
Digital operational resilience
EU AI Act
High-risk AI system compliance
GDPR
Automated decision transparency
Use Cases
AI governance for high-stakes financial decisions.
Credit Decisioning
AI-assisted loan approvals with explainable reasoning, fairness monitoring, and auditor-ready documentation.
Fraud Detection
Real-time transaction monitoring with evidence trails showing why alerts were triggered or suppressed.
Advisory Services
AI-powered investment recommendations with suitability documentation and best execution evidence.
KYC/AML Automation
Streamlined customer onboarding with documented risk assessments and human review checkpoints.
Ready to deploy compliant AI in financial services?
Book a demo tailored to your regulatory requirements and use cases.