04 · Treat and evidence · Financial services

Plan compliance and post-market controls

Controls must protect customers before launch and create evidence that Risk, Compliance and the accountable executive can rely on.

FINANCIAL SERVICES WORKING CONTEXT

Set financial-services controls

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

Validation sign-off
Customer communication and redress process
Monitoring dashboard thresholds

REVIEW CHECKPOINTS

Implementation Roadmap

Require independent validation before material releaseCreate manual review and customer challenge controlsSet monitoring thresholds for drift, complaints and overridesValidate dates with legal counselInclude serious incident handlingPlan for model and supplier changes

Implementation Roadmap

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Implementation roadmap

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Conformity and registration plan

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Post-market monitoring and incidents

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Value-chain and contractual controls

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