Compliance-Grade AI for Financial Services

Secure Claude AI Server Installation & Management

We install, configure, and manage Claude AI server environments — on Windows, Mac, or Cloud — with every major financial services regulation already built in. From GLBA to the SEC's 2026 AI examination priorities, you're covered before day one.

Platforms
Windows · macOS · Cloud
Regulations
GLBA · SEC · FINRA · SOX
Deliverable
Exam-ready from day one
GLBA
WISP & Encryption
SEC S-P
Access Controls
FINRA
Supervisory API
SOX
Immutable Logs
SEC 2026
AI Exam Ready
DPA
Anthropic Agreement

AI Without Controls Is an Exam Finding Waiting to Happen

Regulators are watching. Deploying Claude — or any AI — without proper access controls, audit trails, and documented supervisory procedures exposes your firm to significant enforcement risk.

Data Security by Default

Every installation includes encryption in transit and at rest, plus a signed Anthropic Data Processing Agreement — satisfying your GLBA Written Information Security Program obligations.

Supervisory Controls Built In

All AI-assisted client interactions are logged, reviewable, and tied to named staff — meeting FINRA and SEC Reg S-P access control requirements right out of the box.

Exam-Ready Documentation

We deliver WSP, WISP templates, staff training records, and change management documentation — ready for your next examination from the first day of go-live.

Ahead of the 2026 SEC Sweep

The SEC has placed AI governance in its 2026 examination priorities. Our implementations include full audit trails and documented AI supervisory procedures before examiners arrive.

Every Major Financial Services Regulation, Addressed

We don't add compliance as an afterthought. Each regulation below is implemented as a technical control, a documented procedure, or both — delivered as part of your installation.

GLBA
Gramm-Leach-Bliley Act
Written Information Security Program (WISP) template included
Data encrypted in transit (TLS 1.3) and at rest (AES-256)
Signed vendor Data Processing Agreement with Anthropic
SEC Reg S-P
Privacy of Consumer Financial Information
Role-based access controls restricting data to authorized staff only
Complete audit log of all AI-assisted client interactions
Granular permission tiers aligned to staff roles
FINRA
Supervisory Controls
Supervisory controls via Claude Compliance API
All Claude outputs are reviewable by principals
Written Supervisory Procedure (WSP) template provided
SOX
Sarbanes-Oxley Act
Immutable audit logs with tamper-evident storage
Role-based access controls with segregation of duties
Change management documentation for all AI system updates
SEC 2026 AI
AI Examination Priorities
Full audit trail of AI model interactions and decisions
Staff training records for AI tool usage
Documented AI supervisory procedures ready for examination
DPA
Anthropic Data Processing Agreement
Executed Anthropic vendor DPA included with every deployment
Your data stays yours — zero AI training on client data
Enterprise data retention and deletion terms documented

Every Environment, Fully Configured

Whether your firm runs Windows servers, Apple hardware, or cloud infrastructure, we deliver the same compliance-grade installation with the same documentation package.

Windows Server

Full installation on Windows Server 2019/2022, integrated with Active Directory, group policy controls, and Windows audit logging for compliance alignment.

macOS

Configured for macOS environments including Apple Silicon, with endpoint security policies, Keychain-integrated credential management, and MDM-compatible deployment.

☁️

Cloud (AWS / Azure / GCP)

Private cloud deployments with VPC isolation, IAM role integration, encrypted storage volumes, and cloud-native audit log pipelines — no public internet exposure.

Hybrid Environments

Mixed on-premise and cloud setups with consistent security policy enforcement, unified access controls, and a single compliance documentation set across all nodes.

From Contract to Compliance-Ready in Days

Our structured deployment process ensures nothing is missed — technical or regulatory.

1

Compliance Scoping

We review your firm's specific regulatory profile, existing policies, and technical environment to tailor the deployment.

2

Environment Setup

Server installation, network configuration, encryption setup, and Anthropic API integration on your chosen platform.

3

Controls Implementation

Access controls, audit logging, supervisory APIs, and immutable log storage are configured and tested.

4

Documentation Delivery

WSP, WISP, DPA, training records, and change management templates delivered and reviewed with your compliance team.

5

Ongoing Management

Monitoring, updates, log reviews, and compliance maintenance so you stay audit-ready as regulations evolve.

The Regulatory Clock Is Already Running

⚠️ The SEC Has AI Governance in Its 2026 Examination Playbook

Examiners are now asking firms to produce AI usage policies, supervisory procedures, staff training records, and interaction audit trails. Firms deploying AI tools without this infrastructure are creating findings before the examiner walks in the door. Our installations deliver everything on that checklist as part of the standard engagement.

5
Major regulations addressed in every deployment
3
Platform types supported: Windows, Mac, Cloud
100%
Of Claude outputs logged and reviewable by principals
Day 1
Exam-ready documentation from the first day of go-live

Who Is This For?

This service is designed for RIAs, broker-dealers, insurance firms, banks, and any financial services organization that wants to leverage Claude AI — and needs to do so within a documented, auditable compliance framework acceptable to the SEC, FINRA, or state regulators.

Ready to Deploy Claude the Right Way?

Schedule a free compliance scoping call. We'll review your regulatory profile and show you exactly what your deployment would look like.

Contact

Ready to get started or have questions? Reach out and we'll be happy to help.

Address

10897 South River Front Parkway
South Jordan, Utah 84095

Call Us

(385) 887-0649

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