03 · Analyse risk · Financial services

Map obligations and evidence

Focus on unfair outcomes, weak explainability, model drift, complaint risk and evidence that cannot support a regulated decision.

FINANCIAL SERVICES WORKING CONTEXT

Assess customer harm and model risk

A regulated firm is using AI in a process that can affect customer access, pricing or treatment. Consumer outcomes, model risk and explainability are board concerns.

Evidence bar

Segmented performance results
Override and complaint analysis
Model validation findings

REVIEW CHECKPOINTS

High-Risk Compliance Matrix

Test for different outcomes by relevant customer groupRecord unknowns in supplier claimsDefine launch-blocking failure modesSeparate provider and deployer obligationsPreserve technical and operational recordsInclude instructions for use

INTERACTIVE REVIEW MEETING

Pressure-test your reasoning

SupplierContract label

The contract says we are only a user. Does that settle our legal role?

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General counselTimeline change

How will the roadmap remain reliable if implementation dates or guidance change?

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High-Risk Compliance Matrix

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Provider obligations

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Deployer obligations

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GPAI and supplier dependency

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Compliance evidence gaps

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