Firms Without a Governed AI Policy

Many firms lack a formal generative AI policy, or have one that is not enforced, leaving each practice group to set its own rules for client data. Clients, insurers, and regulators increasingly expect firms to show how AI use is governed. PointGuard AI turns policy into enforced controls and maps every finding, control, and audit record to recognized frameworks.

AI policy is inconsistent and rarely enforced.

• Practice groups set their own AI rules.
• Written policies are not connected to technical controls.
• Client outside counsel guidelines add AI requirements.
• Evidence of compliance is hard to produce.

AI Governance, Shadow AI Control, and Runtime Guardrails turn policy into enforced, auditable controls.

1. Define firm-wide policy. Set acceptable use, data handling, and review rules, with practice-specific variations where needed.

2. Enforce in tools. Apply policies through discovery, data protection, and output guardrails.

3. Map to frameworks. Link every finding, control, and audit record to OWASP, NIST AI RMF, and ISO/IEC 42001.

4. Report and update. Show leadership and clients current compliance, and update policies as tools and rules change.

• OWASP Top 10 for LLMs: LLM02 Sensitive Information Disclosure and LLM06 Excessive Agency, supporting oversight of data exposure and excessive authority across the firm.
• OWASP Top 10 for Agentic Applications: ASI03 Identity and Privilege Abuse and ASI10 Rogue Agents, addressing unmanaged identities and agents outside approved policy.
• NIST AI RMF: GOVERN establishes policy; MAP inventories uses; MEASURE tracks compliance; MANAGE documents remediation.