02 · Define and map · Financial services

Classify the system and actors

Define which customers, products, channels and decisions are inside scope, including vulnerable customers and downstream manual decisions.

FINANCIAL SERVICES WORKING CONTEXT

Scope the regulated customer impact

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

Product/customer journey map
Risk appetite and approval authority
Supplier change and validation terms

REVIEW CHECKPOINTS

Classification Checklist

Name the accountable business owner and second-line challengerMap supplier, model and data dependenciesState what the system must not be used to decideDo not classify from technology aloneMap provider, deployer and downstream rolesSeparate the AI system from its GPAI component

INTERACTIVE REVIEW MEETING

Pressure-test your reasoning

SupplierContract label

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

Write at least 40 characters to reveal the review criteria.

General counselTimeline change

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

Write at least 40 characters to reveal the review criteria.

Classification Checklist

Complete the fields against the financial services operating context. Your work saves automatically in this browser.

Intended purpose