Enterprise Use Cases
Real-world implementations of the Policy Enforcement Engine in highly regulated industries. See how FinTech, HealthTech, and Legal AI startups protect their applications.
ALLOW
Output passes all checks, execution deviation risk is low
WARN
Minor policy violation, content sanitized but allowed
SOFT_BLOCK
Moderate policy violation, content replaced with safe fallback
HARD_BLOCK
Critical policy violation, content completely blocked
Automated investment advisory chatbot that ensures compliance with financial regulations and protects customer data.
Business Challenge
WealthGuard AI needs to ensure their investment advisory chatbot never provides unlicensed financial advice, never recommends specific securities without disclaimers, never leaks customer financial data, stays within approved advisory scope, and maintains audit trail for regulatory compliance.
Solution Overview
Implement Policy Enforcement Engine with Contractual AI Scope defining general educational information only, strict policy violation levels, and comprehensive audit trail.
Symptom assessment and triage chatbot that ensures patient safety and HIPAA compliance.
Business Challenge
HealthCheck AI needs to ensure their symptom checker never provides specific medical diagnoses, never recommends prescription medications, never replaces emergency medical care, always includes appropriate medical disclaimers, maintains HIPAA-compliant audit logs, and protects patient health information (PHI).
Solution Overview
Implement Policy Enforcement Engine with Contractual AI Scope defining general health information only, emergency triage integration, and HIPAA-compliant audit trail.
Contract review and legal document analysis that prevents unauthorized practice of law and protects attorney-client privilege.
Business Challenge
LegalAssist AI needs to ensure their contract analyzer never provides specific legal advice, never creates attorney-client relationships, never interprets laws for specific jurisdictions, always includes appropriate legal disclaimers, maintains privilege-protected audit logs, and prevents unauthorized practice of law (UPL).
Solution Overview
Implement Policy Enforcement Engine with Contractual AI Scope defining general contract information only, UPL violation detection, and privilege-protected audit trail.
Recommended Policy Violation Thresholds by Industry
| Industry | WARN | SOFT_BLOCK | HARD_BLOCK |
|---|---|---|---|
| FinTech | 0.6 | 0.75 | 0.9 |
| HealthTech | 0.5 | 0.65 | 0.8 |
| Legal AI | 0.55 | 0.7 | 0.85 |
Audit Trail Best Practices
Required Fields
- • Timestamp (ISO 8601)
- • User/Client identifier (encrypted)
- • Policy violation level
- • Execution deviation risk score
- • Security incident flag
Retention Periods
- • FinTech: 7 years (SEC requirement)
- • HealthTech: 6 years (HIPAA requirement)
- • Legal AI: Indefinite (attorney-client privilege)