AI Compliance Enforcement · Financial Services

Stop AI from becoming your next compliance violation.

ChatComply intercepts, redacts, and blocks sensitive financial data before it reaches any AI tool — enforcing your firm's compliance policies in real time, across every employee.

INTERCEPT. REDACT. BLOCK. COMPLY.
claude.ai
BLOCKED · ChatComply

Personal data, blocked before it sends

An employee pastes a client's DOB, SSN, and card number into Claude. ChatComply catches the PII and financial data and blocks the message before it can be sent.

Works across the AI tools your employees already use

ChatGPT
Claude
Gemini
Copilot
Grok
Perplexity
Custom LLMs
All prompts intercepted & scanned before submission

Built for firms subject to

SEC Rule 17a-4FINRA 3110GLBASEC Regulation S-PDodd-FrankReg FDCCPAMiFID II
What we protect against

Every AI risk your compliance team is worried about

Employees use AI without thinking. ChatComply thinks for them — catching violations before they become regulatory events.

BLOCK

PII & Client Data Protection

Detects SSNs, account numbers, tax IDs, dates of birth, and other client PII — and blocks the prompt before it can reach the AI tool.

Employee prompt
Draft a portfolio update for John Smith with an account number 123-4567 and SSN 637-55-7854 who lives in Florida.
ChatComply blocks it in <80ms
ChatComply
Send blocked — prohibited

Personally identifiable information detected. The prompt is stopped before it reaches the AI tool, and the attempt is logged.

Full nameAccount numberSSNAddress
BLOCK

Restricted List Violations

Live sync with your restricted securities list. Any AI prompt mentioning a restricted ticker is blocked and logged instantly.

BLOCK

Information Barrier Enforcement

Enforces information barriers between banking, advisory, research, and trading desks. User-level policies prevent cross-desk data from reaching AI.

BLOCK

Pending Trade Confidentiality

Order desk and execution teams are blocked from submitting unpublished trade data, block trade details, or pending order flows to external AI.

REVIEW

MNPI Detection

Pattern-based MNPI detection flags language consistent with insider knowledge — earnings previews, deal valuations, clinical trial data.

REVIEW

Regulated Communication Guardrails

AI-generated client communications are flagged for compliance sign-off before use. No AI-assisted external drafts bypass your review workflow.

How it works

A compliance layer that sits before the AI

ChatComply operates as an intelligent proxy between your employees and any AI tool — enforcing policy at the point of input, not after the fact.

01

Employee drafts a prompt

Your team types normally into ChatGPT, Claude, Copilot, or any AI tool. ChatComply runs silently in the background.

Summarize TSLA earnings
02

Real-time policy scan

Before submission, the prompt is scanned against your restricted list, information barriers, PII rules, and MNPI library.

RestrictedPIIMNPI
03

Block, redact, or allow

Violations are blocked with a clear explanation. PII is auto-redacted. Clean prompts pass through. Every decision is logged.

BLOCKREDACTPASS
04

Audit trail generated

A tamper-evident, timestamped log of every intercept is written to your compliance archive — ready for regulatory examination.

09:14:32 · TSLA LOGGED
Deployment options

Your AI. Your rules.

The power of AI with the controls you set.

Bring Your Own AI

Connect ChatComply to ChatGPT, Microsoft Copilot, or any approved AI tool your employees already use. We sit in the middle, enforcing your policies before anything goes in or out.

Connect Your Internal Chat

Already have an internal AI deployment? ChatComply integrates directly, adding a compliance layer without disrupting your existing infrastructure.

ChatComply Gated Chat

Not ready to open up a commercial AI tool to your workforce? We provide a fully gated, compliance-native chat environment where every interaction is monitored, filtered, and logged from day one.

Private Hosted AI, Built for Your Firm

For firms that don't want to use public AI tools, we can host a dedicated AI instance for your organization. It's isolated from consumer platforms, and your prompts and outputs stay within your controlled environment.

Compliance coverage

Everything your CCO needs covered

Restricted Securities ListLive sync with your internal restricted list; blocks restricted ticker mentions across all AI tools
Information BarriersRole-aware policies block cross-wall data from reaching AI tools used outside the permitted group
Social Security & Tax ID NumbersRegex + ML detection catches SSNs, ITINs, EINs in any format — redacted before submission
Account & CUSIP NumbersBrokerage accounts, CUSIPs, ISINs, and routing numbers are detected and masked automatically
Pending & Unpublished Trade DataOrder desk users blocked from submitting pre-execution trade data or IOIs to external AI systems
Material Non-Public Information (MNPI)AI-powered MNPI pattern detection flags language consistent with insider knowledge
Client PII & KYC DataNames, addresses, DOBs, and passport numbers associated with client records stripped from all prompts
AI-Generated Client CommunicationsAll AI-assisted external drafts flagged and routed to compliance review before use

Regulatory frameworks covered

SEC Rule 17a-4
FINRA 3110
GLBA
SEC Regulation S-P
Dodd-Frank
Reg FD
CCPA
MiFID II

Supported AI tools

ChatGPT / OpenAI
Claude (Anthropic)
Microsoft Copilot
Google Gemini
Perplexity AI
Grok / xAI
Custom LLM APIs
Open-source models
Audit & surveillance

Every intercept logged and archived

A tamper-evident, examiner-ready audit trail of every AI prompt — blocked, redacted, or passed — written to your compliance archive the moment it happens.

  • Timestamped evidenceEvery event carries a precise, tamper-evident timestamp.
  • Employee attributionEach intercept is tied to a named user and desk.
  • Reviewer historyA full disposition trail, ready for examiner review.
6 events · today
TimeEventStatus
09:14:32Restricted ticker TSLA in prompt — M&A deal activeChatGPT · j.chen@BLOCKED
09:22:07SSN pattern detected and redacted (×2 instances)Claude · r.patel@REDACTED
10:05:44Info barrier: M&A data queried by Research deskCopilot · k.wu@BLOCKED
10:31:19Account numbers redacted (ACCT ****3390)Gemini · t.mora@REDACTED
11:04:58Clean prompt — general market analysis, no violationsChatGPT · s.kim@PASSED
11:47:23MNPI flag: language consistent with pre-earnings knowledgePerplexity · d.osei@BLOCKED
Tamper-evident · 7-year immutable retention · SEC 17a-4 aligned
The review console

Where your compliance team does the work

ChatComply isn't just a wall — it's a workspace. Every flagged conversation lands in a triage queue with risk scoring, reviewer actions, and a built-in audit trail. Compliance, surveillance, and supervisory teams work the queue the same way they work email alerts today — except every decision is logged, attributable, and examiner-ready.

app.chatcomply.com/review
ChatComply Review Console — triage queue with risk scoring, the flagged conversation, and reviewer action panel.
Swipe to explore the console
1

Prioritized triage

Flagged and sampled conversations land in one queue, risk-scored so reviewers work the highest-risk items first.

2

Full conversation context

The complete prompt-and-response thread, with the triggering policy and message surfaced inline.

3

Reviewer action history

Every disposition — No Issue, Flag, Escalate, Reset — captured with reviewer ID, timestamp, and notes.

4

Examiner-ready evidence

A tamper-evident record of who reviewed what, when, and why — exportable for regulatory examination.

Enterprise grade

Built for firms where risk has a dollar sign

ChatComply deploys at the firm level — with central policy management, user-level controls, and integrations your IT and compliance teams will recognize.

100%
Prompt inspection

Every prompt, every AI tool, every employee.

<80ms
Enforcement response

No perceptible delay at the point of input.

7yr
Configurable retention

Encrypted, tamper-evident, examiner-ready.

SSO
Enterprise identity

SAML / SCIM with role-based policy sync.

Get started

Your employees are already using AI.
Make sure compliance is too.

Schedule a demo with our compliance engineering team. We'll map ChatComply to your firm's specific risk profile.

No obligation · Personalized walkthrough · Enterprise deployment discussion