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AI Training for Finance Professionals: Controls, Audit Trails and Numbers You Can Sign

External Audit Expectations About AI in Finance Processes

Quiz: External Audit Expectations About AI in Finance Processes

Tax, Regulatory Filings and Automated Preparation Risk

Quiz: Tax, Regulatory Filings and Automated Preparation Risk

Confidentiality and Price Sensitive Information in Prompts

Quiz: Confidentiality and Price Sensitive Information in Prompts

Vendor Tools in the Finance Stack and What to Check

Quiz: Vendor Tools in the Finance Stack and What to Check

Documenting AI Use for the Audit Committee

Quiz: Documenting AI Use for the Audit Committee

Building a Finance AI Control Matrix

Quiz: Building a Finance AI Control Matrix

Final exam: AI Training for Finance Professionals: Controls, Audit Trails and Numbers You Can Sign

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Quiz: Confidentiality and Price Sensitive Information in Prompts

AI Training for Finance Professionals: Controls, Audit Trails and Numbers You Can Sign
Confidentiality and Price Sensitive Information in Prompts
Quiz: Confidentiality and Price Sensitive Information in Prompts

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Question 1 of 5

1. Question

What is the default practice for commercial language model vendors regarding data logging?

Vendors never log any data
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Vendors typically log prompts and responses for monitoring, investigation and model improvement
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Only vendor employees can see logs
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Logging is transparent to the user
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Question 2 of 5

2. Question

What legal constraint applies when you send customer data to a language model?

No constraints apply
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Data protection law requires a lawful basis and a Data Processing Agreement with the vendor
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Only cost constraints apply
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Confidentiality agreements do not matter
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Question 3 of 5

3. Question

If a customer contract states that pricing is confidential, can you send that customer invoice to a commercial language model?

Yes, always
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No, without amending the customer agreement, because you would be breaching confidentiality
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Only if the vendor is cheap
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Customer agreements do not matter
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Question 4 of 5

4. Question

What is the safest approach for highly sensitive financial data?

Always use commercial language models
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Avoid language models entirely and use rule-based systems or on-premise infrastructure instead
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Send all sensitive data to language models
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Do not process sensitive data at all
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Question 5 of 5

5. Question

If you decide to use a commercial language model on sensitive data, what compensating controls should you implement?

No compensating controls are needed
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Do not send entire documents; redact sensitive fields; do not include company or customer names; use locally-run models where possible
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Send all data including customer names
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Controls are unnecessary
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