FINRA and OCC examiners expect prompt-level records. Meibel gives your AI teams the audit trail and PII controls that extend your existing SR 11-7 and GLBA Safeguards posture to LLM workloads — without changing your deployed model SDK. It closes the AI governance gap in your compliance program; it does not replace the program.
When a wealth advisor uses an LLM to summarize client account activity, every prompt may contain: account numbers, SSNs, beneficial owner names, AUM figures. Without a policy layer, all of this reaches the upstream model API uncontrolled.
FINRA's guidance on AI supervision (Regulatory Notice 22-18) and OCC interpretive letters establish expectations for record-keeping and supervision that match what Meibel logs by default.
The gap most teams discover at their first compliance review: no prompt-level records, no model version trail, no evidence of what the model was asked when it produced an answer the regulator is now asking about.
"Meibel's audit trail satisfied our compliance review in the first pass. We had a complete prompt-level evidence package for our FINRA exam team without pulling anything manually."
The audit trail gave us something we hadn't had before: a complete evidence package for our compliance review — model version, redaction log, policy verdict — without anyone having to reconstruct it after the fact.
Our CISO's blocking question was whether PII left the network in model prompts. Meibel's redaction layer gave us a defensible answer: no — here is the redaction count per call, here is the entity type list, here is the policy verdict timestamp. That is an auditable fact, not an attestation.
Request access and we'll have your LLM deployment policy-compliant in under a day.