Financial services
Banks, broker-dealers, RIAs, and asset managers are the buyers most exposed to agent data leakage and the most regulated in their response. DataDam is the governance layer that makes the answer to your CCO the same as the answer to your auditor.
Pressure
Three exposures every regulated financial firm is carrying into 2026. Each maps to a control that lives or dies at the data layer, not in the model.
A research assistant agent that pulls from your CRM and your trading desk shares context across both. Without per-field policy at the data layer, material non-public information will leak into prompts and into vendor logs. The fine for that conversation is not theoretical.
FINRA Rule 4511 expects every business-bearing communication preserved for six years. An agent that queries account balances, trade history, or client notes is a business communication. Where is your audit log?
GLBA, state privacy law, and your own contracts all forbid sending customer name, SSN, or account number to a third-party LLM in cleartext. The only safe place to mask is upstream of the model.
Workloads
Three patterns we see across every financial-services pilot. The risk column is what happens without a governance layer. The control column is what DataDam adds.
Risk without governance
PII (full name, SSN, account number, address) plus position data ships to the model on every turn.
DataDam control
Field-level policy masks PII to the advisor role, generalizes account identifiers, and tokenizes anything the agent needs to reference downstream.
Risk without governance
Watch-list, restricted-list, and material deal pipelines bleed into general queries by accident.
DataDam control
Trust scoring per source, kill switch by agent or source, anomaly detection on novel access patterns. One-click stop when something looks wrong.
Risk without governance
Triage agents need broad read access to find issues, which is exactly the access pattern an exfiltration tool wants.
DataDam control
Immutable audit rollup of every request, decision, and mask. Hash-chained for tamper evidence. Configurable retention to match Rule 4511.
FINRA blueprint
The FINRA blueprint sets a trust threshold of 500 with warn enforcement, tightens the PII confidence threshold to 0.45, and pushes audit retention to six years to match Rule 4511. PII columns mask by default until your contract authors approve broader access per role.
Evidence endpoints export the rollups your auditor asks for, in CSV or JSON, with a stable change log so a re-run produces a reconcilable answer six months later.
Need stricter than FINRA defaults? Override per source. The override only applies where you point it.
The proxy is an OCI image. Drop it in your environment. Connect Postgres, Snowflake, or Salesforce. Apply the FINRA blueprint. Watch agents run inside guardrails you can show your auditor.