FCI & AI
AI isn’t new here. It’s been running since 2017.
FCI both deploys AI to protect firms and helps firms govern AI to meet regulatory expectations. Not a marketing angle — a decade-long operational capability.
FCI’s relationship with AI is not new, not reactive, and not a marketing angle. It is a decade-long operational capability that has deepened as the technology — and its risks — have evolved.
Implementation of AI tools can put your entire firm at risk.
AI may already be embedded in many of the cloud applications your firm uses. And standalone AI tools are proliferating faster than policies can keep up. The risk is not theoretical: an AI agent can process data at the speed of hundreds of thousands of humans. Without data tagging and access controls, a user with broad permissions could unknowingly expose an entire organization’s NPI in seconds through an AI tool.
Establish clear policies for employees and affiliates on how AI tools may and may not be used with firm data. This is not optional — regulators are already asking about it.
Due diligence on every AI vendor and solution the firm chooses. Who processes the data? Where is it stored? Can the vendor’s AI model be trained on your firm’s client data? These are not hypothetical questions.
Clearly identify what is NPI so AI systems — and every other cloud application — know what they can and cannot consume. Without classification, there is no enforcement. With it, DLP and access controls become meaningful.
FCI began integrating AI into its threat detection capabilities in 2017 — years before the current wave of AI awareness in financial services. Traditional detection relies on matching known attack patterns. AI-driven detection identifies behavioral anomalies — deviations from baseline that indicate a threat even when the attack has never been seen before.
Across 40,000+ endpoints, this means threats are caught faster, with fewer false positives, and without relying on the threat having been seen before. In the distributed sales office environment, where the threat surface is unpredictable and operates across devices and networks FCI does not control, pattern-matching alone is not enough.
FCI uses AI within its Security Information and Event Management (SIEM) operations to analyze log data at a scale and speed that manual analysis cannot match. Patterns that indicate potential threats — lateral movement, unusual access patterns, credential misuse — are surfaced before they become incidents.
AI-enhanced SIEM does not just detect — it documents. Every flagged event, every correlated pattern, every escalation creates a forensic trail that becomes part of the compliance evidence FCI produces through the FCI Portal.
The same AI tools that create business value also create risk. Financial services firms use cloud applications — Microsoft 365, CRM platforms, AI-powered productivity tools — that may expose client data to AI models if default settings are left in place.
FCI’s cloud application security hardening includes reviewing and enforcing controls on how AI features interact with the firm’s data. This means configuring which AI features are enabled, which are restricted, and which are blocked entirely — based on what the firm’s cybersecurity program requires and what regulators expect. The firm defines the policy. FCI implements the technical controls that enforce it.
AI governance is not just a technical problem — it is a policy and procedure problem. Firms need to define how employees and affiliates may use AI tools, what data may be entered into them, what disclosures are required, and how AI-generated outputs are reviewed before use. Regulators are already asking these questions.
FCI brings expertise from working across 400+ financial services firms to help each firm make informed decisions about where AI creates value, where it creates risk, and how to document the controls that govern its use. The firm owns its program. FCI provides the expertise and implements the enforcement.
The enforcement can go as far as the firm’s program requires — from selective restriction to full prohibition of specific AI tools on firm-controlled endpoints. The technical enforcement matches the policy, and the documentation proves the controls are in place.
FCI has been where AI meets cybersecurity longer than most firms have been thinking about it.
The progression is natural — from using AI to protect, to using AI to analyze, to protecting clients from AI, to helping clients govern AI. Each chapter built on the one before it. This is not a company that added an “AI” badge to its marketing. This is a company that has been operationally deploying and managing AI in a regulated environment for nearly a decade.
Built to Meet What Regulators Require
The SEC, FINRA, NYDFS, NAIC, and CISA have all published clear expectations for how financial services firms must govern AI — from model risk management and vendor due diligence to data protection and consumer transparency. These are not future proposals. They are current enforcement priorities.
FCI’s offering was designed around these requirements. Our AI governance controls — endpoint enforcement, usage policies, data-loss prevention, documentation for examiners — map directly to what regulators are asking firms to prove. Every control we implement, every policy we enforce, and every report we generate through the FCI Portal is aligned with the regulatory framework that governs your firm.
We compiled every major AI-related regulatory statement, guidance document, and enforcement advisory from the past three years into a single reference — with direct quotes, publication dates, and source links.
Find out where your firm stands on AI risk
A 30-minute gap analysis covers AI governance alongside endpoint security, MFA, data protection, and compliance documentation — everything regulators and cyber insurers are asking about.