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Finance / Wealth verified Verified Outcome TRL 9

GenAI Guardrails & PII Sanitization

domain Client: A major global wealth manager handshake Provider: OpenAI / Microsoft schedule Deploy: Q1 2023 (Launch)
95 Impact
Enterprise Ready
Evidence Score: 5/10
Strength: Very High

Executive Summary

ANALYST: COI RESEARCH

The firm deployed an internal Generative AI assistant to help financial advisors query thousands of proprietary research reports. A strict governance layer sits between the user and the LLM, stripping out any client names or account numbers from the query before it reaches the model, ensuring no client data leaks into the model training set.

rate_review Analyst Verdict

"The blueprint for Enterprise GenAI. While the hype is about the model, the value is in the governance wrapper. By sanitizing inputs and verifying outputs (grounding), the firm unlocked the productivity of LLMs without violating the 'don't feed the model' rule of financial privacy."

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Full Audit Report Available Includes Risk Register, Technical Specs & Compliance Data.

warning The Challenge

Advisors drowned in research PDFs. Finding the specific 'view on Asian Tech' took too long. Public LLMs (ChatGPT) were banned due to the risk of leaking client data or IP into the public training corpus.

psychology The Solution

Built 'Morgan Stanley Assistant' on Azure OpenAI Service (private instance). Implemented a content filtering middleware. If an advisor types 'Write a note to Mr. Smith (Acct 123) about Apple', the middleware blocks the PII or redacts it before processing. The model only has access to the curated knowledge base.

settings_suggest Technical & Deployment Specs

Integrations
Internal Knowledge Base
Deployment Model
Private Cloud AI
Data Classification
IP / Client PII
Estimated TCO / ROI
High
POC Summary (2022-06-01 to 2023-03-01)

"Internal beta 2022."

shield Risk Register & Mitigation

Risk Factor Severity Mitigation Strategy
Hallucination High Citations required for every claim; model grounding.
Prompt Injection Medium Input validation layers.

trending_up Impact Trajectory

Audited value realization curve

Indexing of >100,000 research documents Verified Outcome
Primary KPIAdoption by essentially all financial advisors
Audit CycleZero PII egress to public model

policy Compliance & Gov

  • Standards: SEC Books & Records
  • Maturity (TRL): 9
  • Evidence Score: 5/10
  • Data Class: IP / Client PII

folder_shared Verified Assets

description
Verified Case Study
PDF • Version 1
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Technical Audit
PDF • Audited
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The "Blind Verification" Protocol

How we verified these outcomes for A major global wealth manager without exposing sensitive IP or identities.

Private
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1. Raw Evidence

Audit ID: #PRIV-891
Evidence: Direct SQL Logs
Public
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2. Verified Asset

Outcome: Verified
Ref ID: #COI-891

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