This project defines a secure, compliant workflow for processing client financial statements and generating AI-assisted summaries. It ensures strict data privacy, confidentiality, and regulatory compliance at every stage.
This Standard Operating Procedure (SOP) outlines the approved process for:
- Securely handling client PDF statements
- Extracting relevant data
- Generating structured AI summaries
- Maintaining zero data retention
This procedure applies to:
- All staff and contractors
- Systems involved in document processing
- AI tools used for summarization
- Clients upload PDF statements via a secure HTTPS connection
- Explicit consent is required before upload
- Files are stored temporarily only in a secure processing environment
- No long-term storage is permitted
- PDFs are processed locally or on a secure server
- Only extracted text is used for further processing
- Raw PDFs are never sent to AI services
- Extracted text is sent through a secure API
- AI providers must guarantee:
- No data retention
- No model training on submitted data
- No reuse of client information
- AI generates a structured summary based strictly on provided data
- No assumptions, extrapolations, or inferred content
- Summaries are securely returned to the client
- Delivery must maintain encryption and access control
- Immediately after processing:
- PDFs are deleted
- Extracted text is deleted
- Generated summaries are deleted (unless required for delivery)
The organization must clearly state:
- Data is used only for service delivery
- No storage of documents, extracted data, or summaries
- No data sharing, selling, or reuse
- Immediate deletion after processing
- AI providers do not retain or train on client data
Clients must explicitly agree before upload:
“I authorize the temporary processing of my document for summary purposes.”
- Authentication is required for all system access
- Client data is strictly isolated per user
- No cross-client visibility is allowed
- Internal access is restricted to authorized personnel only
The following are strictly forbidden:
- Uploading client documents to public AI tools (e.g., ChatGPT UI)
- Storing or retaining client data or summaries
- Training or fine-tuning AI models with client data
- Using third-party tools without verified privacy compliance
Failure to comply with this SOP may result in:
- Disciplinary action
- Legal consequences
- Compliance violations
All personnel must acknowledge and adhere to this procedure when handling client data.
Zero Retention. Full Privacy. Secure Processing.