The AI Compliance Firewall — Product Demo
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The Problem

Your advisors use AI every day.
Nothing is watching.

Every email, every chat response, every text message is a potential compliance violation. One misleading claim is all it takes.

🔒 chat.internal-ai.com
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Draft an update for James Wilson mentioning his 14.2% return and our strategy beating the S&P.
🤖
Hi James, your account returned 14.2% this quarter. Our strategy has consistently outperformed the S&P 500 over the past three years, and I expect continued strong results...
⚠ 4 SEC violations • Comparative claim • Promissory language • Unsubstantiated returns • No risk disclosure
The Risk

The cost of doing nothing

Regulators are watching. Fines are accelerating. AI is making it harder than ever to stay compliant.

$4.7B
SEC fines since 2020
$89M
FINRA off-channel penalties
87%
Firms now using AI tools
The Solution

Meet BastionAI

The AI compliance firewall for financial institutions. Sits between your people and every channel — scanning, modifying, and blocking non-compliant content in real time.

💬 AI Chat
✉️ Email
📱 Text
🌐 Social
🔒 app.bastionai.com/dashboard
🛡️ Membrane Active
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Sarah Chen
💬 AI Assistant Protected
Live Monitor
Session active
MONITORING
Policy v1.2 loaded. All channels protected.
How It Works

The Membrane

Every outbound message passes through BastionAI's intelligent membrane. In under one second, our models detect violations of SEC, FINRA, and internal policies.

👤

Advisor

Sends message

→
🛡️

Membrane

Scans <1s

→
🧠

Policy Engine

SEC • FINRA

→
✅

Decision

Pass • Fix • Block

🔒 app.bastionai.com/email
🛡️ Scanning...
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Sarah Chen
To:james.wilson@client.com
Subj:Quick Update — Your Portfolio
Hi James,

Your account is up 14.2% — our strategy has beaten the S&P 500 for three years. I'm confident we'll see strong results going forward.

Our Structured Notes offer principal protection with 8-10% yields. Several clients have seen excellent returns.
Email Monitor
Intercepted
SCANNING
Applying SEC Marketing Rule + FINRA 2210
Capabilities

Doesn't just flag.
Prevents.

BastionAI takes action in real time, before violations reach clients or regulators.

✏️
Auto-Rewrite
Language rewritten instantly
🚫
Real-Time Block
Stopped before delivery
🛡️
Override Protection
Can't bypass the firewall
📜
Audit Trail
Tamper-proof compliance log
🔒 app.bastionai.com/chat
🚫 Override BLOCKED
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Sarah Chen
Live Monitor
Why BastionAI

Before vs. After

Legacy compliance reviews happen days later. BastionAI acts in milliseconds.

❌ Without BastionAI

Reviews happen days or weeks later
Violations discovered after client exposure
Manual review of thousands of messages
Advisors can send anything unchecked

✅ With BastionAI

Every message scanned in under 1 second
Violations blocked before they reach clients
AI-powered, fully automated screening
Override attempts denied and escalated

Every channel. Every message.
Every model. Protected.

The compliance firewall your firm needs.

BastionAI
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This presentation contains forward-looking statements regarding BastionAI's product capabilities, features, and anticipated benefits. Actual results may differ materially. Product features, pricing, availability, and specifications are subject to change without notice. Statistics cited are from publicly available industry sources and are provided for informational purposes only. BastionAI does not guarantee regulatory compliance and is not a substitute for qualified legal or compliance counsel. © 2026 BastionAI. All rights reserved.

The AI Compliance Firewall

Every channel. Every message. Every model. Protected.