FINANCIAL SERVICES · AI DATA PROTECTION

Use AI Without Exposing Client Data or MNPI

Advisors, analysts and bankers paste client records and deal details into AI every day. Wald detects customer data and material nonpublic information on the device and stops it before it reaches ChatGPT, Copilot, Claude or Gemini.

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Built for financial services:

GLBASEC Reg S-PNYDFS Part 500FINRAAudit logs
Financial services AI DLP: Wald blocks client SSNs, account numbers and MNPI on the device before they reach ChatGPT, Claude, Gemini or Grok

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WHY AI IS THE NEW GLBA RISK

AI Is Now the Fastest Way Client Data Leaves Your Firm

Email, file sharing and USB have had DLP for years. AI prompts have not. Advisors and analysts paste whole client files into a browser tab, often from personal accounts, and legacy DLP never sees it.

#1

GenAI is now the top channel for corporate data moving to personal accounts, carrying 32% of it.

77%

of employees using GenAI paste data straight into prompts.

82%

of those pastes happen in unmanaged personal accounts your tools can’t see.

Source: LayerX, Enterprise AI & SaaS Data Security Report 2025

D
Daniel · Wealth advisorFree ChatGPT · personal account · Thu 9:12 AM
TYPICAL SCENARIO

Write a quarterly review email for my client Michael Chen, SSN 512-44-8830, brokerage account ending 4471. His portfolio is $2.4M and he wants to move 30% into bonds once his divorce settlement closes.

Customer NPI in one prompt: NameSSNAccount numberPortfolio valueLife event

What just happened

  • Customer NPI sent to an AI vendor with no service provider contract
  • Outside your GLBA safeguards, access controls and logs
  • If it is ever exposed, you can’t show where it went or who saw it
One prompt, sent in under a second. Instant GLBA exposure.
SEC REGULATION S-P
30 days

The amended rule gives broker-dealers, investment advisers and funds no more than 30 days to notify customers whose sensitive information was accessed without authorization. A client file in an unmanaged AI tool is exactly the exposure you need to be able to trace.

72 hoursNYDFS Part 500: notify the superintendent of a qualifying cybersecurity event
FINRA Notice 24-09Existing supervision and recordkeeping rules apply to GenAI use

Why Employee AI Use Puts Financial Firms at Risk
‍

01

Client NPI Hides in Everyday Asks

A portfolio review, a loan memo, a KYC summary. Each one carries nonpublic personal information that GLBA expects you to safeguard.

02

MNPI Has No Pattern to Match

Deal codenames, unannounced results and pricing don’t look like account numbers. Pattern-based DLP misses them. Insider trading rules don’t.

03

Supervision Still Applies

FINRA has said existing supervision and recordkeeping rules cover GenAI. You can’t supervise AI use you can’t see.

04

Paid Plans Don’t Close the Gap

Enterprise plans stop model training, but prompts still leave the device, and they only cover the one tool you license.

The Financial Data Wald Protects

These are the data types that surface most often in employee AI prompts at banks, wealth managers and asset managers. Wald detects each one on the device, by context, and you choose Allow, Warn or Block.

Customer identity

Identifiers pasted while onboarding or servicing clients.

  • SSN & TIN
  • Full name
  • Date of birth
  • Home address
  • Driver’s license

Account data

The numbers that make a record actionable.

  • Account numbers
  • Routing numbers
  • Card numbers
  • Balances
  • Statements

Lending & credit

Application data from underwriting and servicing.

  • Credit scores
  • Loan applications
  • Income & tax returns
  • Collateral
  • Hardship notes

Wealth & trading

Client positions and advice in progress.

  • Holdings
  • Trade orders
  • Net worth
  • Advisor notes
  • Suitability files

Material nonpublic info

No fixed pattern, so only context catches it.

  • Deal codenames
  • Unannounced M&A
  • Earnings drafts
  • Pricing
  • Board materials

KYC & AML

Investigations that must never leave the firm.

  • KYC documents
  • Beneficial owners
  • SAR details
  • Watchlist hits
  • Source of funds

Risk & strategy

Proprietary models and regulator findings.

  • Credit models
  • Risk reports
  • Pricing strategy
  • Exam findings
  • Audit workpapers

Employee data

Records that flow through HR and licensing.

  • Compensation
  • Performance reviews
  • Form U4 details
  • Background checks
  • HR cases

GLBA expects you to safeguard customer information wherever it goes. Today, that includes AI prompts.

Stop client data and MNPI before it reaches AI

Wald’s on-device models recognise customer identifiers, account data and deal information by context, so a client file or an unannounced deal never leaves the laptop inside a prompt.

  • SSN, account & card detection
  • MNPI and deal codename detection
  • Context, not just pattern matching

Apply firm policies with Allow, Warn, or Block

Set rules per data type, team and AI tool. Block account numbers and MNPI outright, warn on client names, and coach advisors in the moment instead of after an incident.

  • Per-data-type, per-team policies
  • Inline coaching before a block
  • Free and paid AI tools covered

Evidence for examiners and auditors

Every AI interaction is logged with user, tool, data type and policy outcome, so compliance can show GLBA safeguards, support supervision reviews and investigate incidents fast.

  • Centralised audit trail
  • Exportable reports for compliance & examiners
  • Per-user, per-tool records

An Enterprise AI Plan Alone vs. Wald for Financial Firms

Enterprise AI plan alone
With Wald
Client NPI still leaves the device
Client NPI stopped on the device
MNPI and deal names pass unchecked
MNPI caught by context, not patterns
Covers only the one tool you license
Covers the AI tools advisors actually use
No firm-owned evidence for examiners
Exportable audit trail for GLBA & Reg S-P
Jonathan Antonio
Wald enables our employees to safely leverage leading AI models so they can reduce the time they spend on manual tasks. Our traditional DLP was built for email and file transfers and not AI prompts. Wald gave us real visibility and control over how our employees use LLMs without slowing productivity.
Jonathan Antonio
Jonathan Antonio
Vice President of Infrastructure @Suki

Stop Client Data Leaking Into AI

Keep customer data and MNPI out of AI tools, and keep the proof that you did. See how Wald fits your compliance program in a 30-minute demo.

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3D illustration of Wald AI visibility and protection

Frequently Asked Questions

Talk to Sales

What is AI DLP for financial services?

AI data loss prevention for financial services stops customer NPI, account data and material nonpublic information from being shared with AI tools like ChatGPT, Copilot, Claude and Gemini.

‍

Wald does it on the device, before a prompt is sent, and logs every AI interaction for compliance.

Does GLBA apply to data employees paste into AI tools?

Yes. Customer nonpublic personal information stays covered when it is pasted into a prompt.

‍

The GLBA Safeguards Rule expects you to control access to customer information and oversee the service providers who receive it. An AI tool with no contract and no oversight is an uncontrolled disclosure.

Is ChatGPT Enterprise or Copilot enough for a financial firm?

Enterprise plans typically stop the vendor from training on your data, but customer data still leaves the device and is stored by a third party. They also cover only the tool you license, not the free tools employees use on the side. Wald adds on-device detection and control across the AI tools your teams actually use.

Can Wald detect MNPI, not just account numbers?

Yes. Wald's on-device models read the context of a prompt, so they can flag deal codenames, unannounced results and pricing that have no fixed pattern.

‍

You decide whether each type is allowed, warned on or blocked, by team and AI tool.

Which regulations does Wald help financial firms meet?

Wald helps you maintain controls for GLBA, SEC Regulation S-P, NYDFS Part 500, FINRA supervision expectations and PCI DSS wherever AI is involved.

‍

It does this by keeping regulated data out of AI tools and giving you an exportable record of every AI interaction.

How quickly can we roll out Wald across the firm?

Wald runs as a lightweight agent across browser and desktop, deployed through your existing MDM, so you can start seeing AI usage across the firm soon after rollout. We'll map out a deployment plan with you during your demo.

Helps you maintain:

SOC2 TYPE II
GLBA
REG S-P
NYDFS 500
PCI DSS