Compliance Center for Finance AI
Documentation for Firmly's data governance and compliance capabilities for investment firms.
Contents
| Document | Description |
|---|---|
| Data Retention Policies | Configurable retention for investment conversations, audit logs, and deal documents |
| Legal Holds | Preserving data during SEC inquiries, litigation, and investigations |
| Audit Trail | Tamper-evident logging of all AI interactions with investment data |
| SEC Compliance | Books and records requirements for investment advisers |
| SOC 2 Controls | C1.2 and P5.1 implementation for financial services |
| Retention Audit Trail | Records of data disposal |
Overview
Firmly provides enterprise-grade data governance designed specifically for investment AI deployments:
- Retention Policies - Automated lifecycle management for investment conversations, audit logs, and deal documents with configurable periods per firm and fund
- Legal Holds - Preservation of data during SEC examinations, regulatory inquiries, litigation, and internal compliance reviews with targeted or blanket scope
- Audit Trail - Cryptographically chained audit logs that enable verification of record integrity and support regulatory examinations
- Compliance Controls - Built-in support for SEC books and records requirements and SOC 2 (C1.2, P5.1) requirements