FAQs on DFIN’s Use of AI
Q1: How does DFIN use AI in its software products? A: DFIN provides innovative software and technology-enabled financial regulatory and compliance solutions. We strive to develop AI-enabled features that provide improved efficiency, accuracy, and overall performance for our customers. Other features delivered through third-party integrations may use AI functionality to improve usability or service quality. Visit our website here for information on the AI functionality in specific DFIN products.
DFIN is committed to responsible use of AI and aligns with the following principles for safe, secure, and trustworthy AI:
- Transparency and explainability
- Safety
- Accuracy, robustness, and reliability
- Respectful of intellectual property rights
- Ethical, fair, and non-discriminatory
- Secure by design
- Compliant with information security and data privacy requirements
- Protective of confidential information
- Accountable/Auditable
Q2: What measures are in place to ensure the accuracy of AI-driven features? A: DFIN employs rigorous testing and validation processes to promote the accuracy of functionality powered by AI. Additionally, we monitor and update our AI models to maintain high standards of performance and reliability. AI systems are to be used as a tool and resource to assist users, not as a replacement for human judgment and expertise.
Q3: How will I know if I am using an AI-powered feature in DFIN’s products? A: DFIN is committed to transparency and strives to provide clear information about the application, training, capabilities, limitations, and potential effects of the AI tools built by DFIN. We provide detailed information about the AI functionality in our products, including the types of data processed and the purposes of AI-driven features. Our privacy notice and user agreements further outline our AI practices for specific products.
Q4: What types of data are collected by DFIN’s AI systems? A: DFIN’s AI systems may collect data such as user preferences, interaction history, and usage patterns. The metadata we collect helps us understand how often the product is being utilized and how well it is performing, which allows us to make necessary improvements and deliver a better user experience. In alignment with our security-by-design and privacy-by-design processes, DFIN implements strong organization, security, and privacy controls to protect the confidentiality, security, integrity, and privacy of the data processed within our products.
DFIN’s AI systems do not actively collect personal information, including sensitive personal information, unless it is explicitly provided by you as the user. Similarly, DFIN’s AI functionality does not actively collect customer data, including pre-filing financial results, unless it is explicitly provided by you as the user.
Q5: Will my data be used to train DFIN’s AI models? A: DFIN will not use personal or confidential customer data to train foundation models used to provide the AI features to DFIN’s other customers, unless expressly stated otherwise in the product documentation or otherwise agreed to by the customer.
Q6: How does DFIN ensure the security of data processed by AI? A: DFIN implements robust security measures to protect data processed by our products and services, including any AI systems. This includes encryption, access controls, and regular security audits. We also adhere to industry best practices and standards to safeguard user data. DFIN’s AI development aligns to industry frameworks such as NIST AI RMF, ISO/IEC TR 24025:2020, and ISO 42001. In the event of a security incident, we have a comprehensive response plan in place which includes promptly investigating the matter, notifying affected users, mitigating risks, and taking corrective actions to prevent future incidents, as appropriate. See our Trust Center here for more information regarding our information security practices.
Q7: How does DFIN handle AI-related privacy concerns? A: DFIN prioritizes user privacy and has policies in place to address AI-related privacy concerns. This includes transparent data usage practices, user consent mechanisms, and options for users to control their data. We align our AI product development with key privacy principles such as data minimization, purpose limitation, and storage limitation to protect users’ personal information.
Q8: Can users opt-out of AI-driven features in DFIN’s software products? A: Yes, users can opt-out of certain AI-driven features through their account settings. We provide options for customers to customize their experience and choose the level of AI integration they are comfortable with using in our products. Visit our website here for information on this functionality in specific DFIN products.
Q9: Can users request the deletion of their data? A: Yes, users can request the deletion of their data at any time by contacting dataprivacy@dfinsolutions.com. We provide support to help users manage their data and exercise their privacy rights. Please refer to DFIN’s Privacy Notice here.
Q10: How does DFIN ensure the safety and ethical use of AI? A: DFIN adheres to ethical guidelines and principles in the development and deployment of AI. We implement rigorous testing and validation processes to identify and mitigate biases in our AI algorithms. AI outputs are regularly monitored for unintended and unjustified consequences, harms, and disparate impacts.
Q11: How can customers provide feedback or report issues related to AI features? A: Customers can provide feedback or report issues through our support channels, including those built into the platform and by contacting their DFIN representative. We value customer input and use it to inform future feature development and DFIN’s Active Intelligence roadmap.
Q12: Does DFIN comply with relevant data privacy and AI regulations and standards? A: Yes, DFIN complies with all relevant AI regulations and standards. We stay updated on legal requirements and industry guidelines to ensure our data privacy and AI practices are ethical and lawful.
Q13: How does DFIN oversee AI risks? A: DFIN has a cross-functional AI Oversight Committee comprised of senior leaders to provide guidance and oversight of AI use across the company. The AI Oversight Committee is responsible for promoting AI use that is suitable, adequate, ethical, and effective while providing value to our key stakeholders: customers, employees, and shareholders. The AI Oversight Committee monitors compliance with DFIN’s AI Responsible Use policy and our other applicable policies and procedures. The AI Oversight Committee promotes AI literacy and develops appropriate learning opportunities for relevant DFIN employees.