Generative AI Security

Introduction

The finance industry is witnessing a significant transformation, driven by advancements in technology. One of the most promising technological developments is the rise of Generative AI applications using Large Language Models (LLMs).

These models have the potential to revolutionize all aspects of  Banking and Financial services industry, from customer service to risk management.

Key Use cases

Generative AI applications using LLMs in the automobile finance industry.

Enhanced Customer Support

Personalized Assistance

Generative AI applications can provide highly personalized customer support by understanding and responding to customer queries in real time.

They can handle a wide range of inquiries, from loan application statuses to explaining financing options. This leads to faster response times and improved customer satisfaction.

24/7 Availability

With the ability to operate round the clock, LLMs ensure that customers can get assistance anytime, reducing the need for extensive human customer service teams.

This availability is particularly beneficial for handling queries during off-hours or peak times.

Loan Application Processing

Automated Documentation

Generative AI applications using LLM’s can assist in automating the documentation process for loan applications.

By extracting relevant information from documents, these models streamline the application process, reducing the time required for approval and minimizing human errors.

Credit Risk Assessment

By analyzing vast amounts of data, including credit histories and financial behaviors, Generative AI applications using LLM’s can help in assessing the credit risk of applicants more accurately.

This can lead to better decision-making and reduced default rates.

Personalized Financial Products

Tailored Loan Offers

Generative AI applications can analyze customer data to offer personalized loan products that best fit individual needs and financial situations.

This customization enhances the customer experience and can lead to higher acceptance rates of financial products.

Predictive Analysis

By leveraging historical data and customer behavior patterns, Generative AI applications  using LLMs can predict future financial needs and trends.

This allows financial institutions to proactively offer relevant products and services to their customers.

Fraud Detection and Prevention

Real-Time Monitoring

Generative AI applications using LLMs can monitor transactions and loan applications in real-time, identifying suspicious activities that may indicate fraud.

Their ability to analyze large datasets quickly helps in detecting patterns that might be missed by traditional methods.

Anomaly Detection

Advanced anomaly detection algorithms powered by LLMs can flag irregularities in financial transactions, enabling prompt investigation and action.

This is crucial in preventing fraudulent activities and protecting both the institution and its customers.

Improved Marketing Strategies

Customer Insights

Generative AI applications using LLMs can analyze customer feedback and interactions across various channels to provide deeper insights into customer preferences and sentiments.

This information is invaluable for creating targeted marketing campaigns that resonate with specific customer segments.

Content Generation

Generating engaging content for marketing purposes can be streamlined with LLMs.

From drafting personalized emails to creating compelling advertisements, LLMs can produce high-quality content that drives customer engagement.

Regulatory Compliance

Document Analysis

Ensuring compliance with regulatory requirements is a critical aspect of the automobile finance industry.

Generative AI applications using LLMs can analyze legal documents and regulations to ensure that all processes and documents adhere to the necessary standards, reducing the risk of non-compliance.

Audit Trail Creation

Generative AI applications using LLMs can assist in creating detailed audit trails by automatically documenting interactions and transactions.

This helps in maintaining transparency and simplifies the auditing process. 

Generative AI applications Use Cases in Stock Markets

Sentiment Analysis

Generative AI applications and LLMs excel at processing and analyzing text from various sources, such as news articles, social media, and financial reports.

This capability is used to gauge market sentiment and make informed trading decisions.

Algorithmic Trading

Generative AI applications using  LLMs  can enhance algorithmic trading strategies by processing large volumes of data and identifying patterns.

They can generate trading signals based on textual analysis of news, financial reports, and other relevant documents.

Predictive Analytics

Generative AI applications and LLMs can be used for predictive analytics in stock markets by analyzing historical data and current market trends.

They help investors forecast future stock prices and market behavior, aiding in strategic decision-making.

Automated Financial News Summarization

Keeping up with the constant flow of financial news is challenging. LLMs can summarize vast amounts of information, highlighting the most critical points and enabling traders and analysts to stay informed without being overwhelmed.

Generative AI applications and workflows are revolutionizing the financial services industry and stock markets by automating processes, enhancing decision-making, and providing personalized insights.

From improving customer service to advancing algorithmic trading, the potential applications of LLMs are vast and varied.

As these technologies continue to evolve, their impact on the financial sector is poised to grow, driving further innovation and efficiency.

Business Use case

Automotive Loan applications Analytics  Insights Dashboard

Automated Reports generation for Operation data analysis

Business Benefits

• Reduction of manual effort
• Ease of use-conversational
• Accurate
• Precise reports
• Enable productivity
• Data science citizens across Organization can use Operation data
• Advanced Decision making

User Benefits

• Using Natural language instead Programming Language.

Main Components of  Generative AI Application Workflow

Automated Reports generation for Loan applications data analysis

User query

Transforming a natural language prompt into executable

• AWS lambda function
• Azure functions
• Python code
• Kubernetes job

Analytics Application

• SQL generation for data retrieval
• Spark  Query, Flink, Beam etc OR
• AWS EMR
• Azure HD
• Google Dataflow

Interactive Response Context

• Multiple questions and answers in a Session
• Session
• Dialogs
• Session Context
• Active Dialog
• Dialog Context
• Form
• Prompt
• Filled
• Match | NoMatch | Timeout
• NLP Grammar

Dashboard Insights Q&A App

Data sets

• Operation data from Field systems
• Data sources from Sub-Systems

Users

• Data science citizens for analysis

Foundation Model selection

• Anthropic Claude 3 models
• zero-shot and few-shot prompting
• Model selection, Evaluation and cost-performance
• Design prompt for each component

Test responses

• Conversational, Accurate, and Precise

Question rewriter

•  LLM model invoke for reformulating user queries to better align with the  document space
• improve the accuracy and relevance of the information retrieved

API service

• Interface APIs for multi-modal front-end app
  

Python code generator

• LLM code generation for downstream analytics and report generation

SQL generator

• Text to SQL and Context injection with RAG for Operation Database

Data-to-text generator

• Data-to-text Pipeline

Alert AI Security guardrails

• Easy to deploy and manage Generative AI application security integration
• Protection for Generative AI attack vector and vulnerabilities
• Intelligence loss prevention
• Domain-specific security guardrails
• Eliminates Security blind spots of Gen AI Application for InfoSec team

Block diagram

Loan applications analytics Insights use case Generative AI application

Business Use case

Automation of primary Credit risk  assessment workflow. By analyzing vast amounts of data, including credit histories and financial behaviors, Generatie AI applications using LLMs can help in assessing the credit risk of applicants more accurately. This can lead to better decision-making and reduced default rates.

Credit Risk Assessment

Business Use case

Automation of Intelligent document processing identifies and classifies document types such as bank statements, cash flow statements, P&L reports, address proofs, other required documentation.

This can lead to better decision-making and reduced costs and operational efficiency.

Intelligent Document Processing

Generative AI in Business Applicaiotns introducing a host of new Attack vectors and threats that escape traditional firewalls.

“The risks are of High stakes..”

“Unguarded would lead to Major fallouts…”

Here some potential security risks using Generative AI in Business.

Data Privacy and Security

Sensitive Data Exposure

Generative AI applications in Business using LLMs can inadvertently reveal sensitive information if not properly managed.

For example, if an LLM is trained on proprietary or customer data, there’s a risk of that information being exposed during interactions.

Data Breaches

Generative AI applications in Business must have protection,  if  an LLM’s underlying data infrastructure is compromised, attackers could gain access to confidential financial data.

Copyright and Legal information

Generative AI applications in Business using Large Language Models (LLMs) must be designed to respect copyright laws by avoiding the unauthorized use of copyrighted text during training and deployment, ensuring that all content generated adheres to legal and ethical standards.

Sensitive content exposures

Generative AI applications in Business using LLMs must be carefully managed to prevent the generation or dissemination of sensitive or harmful content, safeguarding user interactions and upholding privacy and security protocols.

Integrity of AI application

Maintaining the integrity of Generative AI applications in Business using LLMs involves implementing rigorous security measures and validation processes to protect the system from tampering and ensure reliable and unbiased outputs.

Tokenizer Manipulation Attacks

Tokenizer manipulation attacks in Generative AI applications in Business using LLMs prone to exploit and vulnerabilities in text processing, potentially causing incorrect or malicious outputs, necessitating robust defenses and regular updates to counteract such risks.

Bias and Fairness

Algorithmic Bias

Generative AI applications in Business using LLMs can perpetuate and even amplify biases present in their training data, leading to unfair treatment of certain groups of customers.

This is particularly concerning in credit scoring, loan approvals, and other financial decisions.

Discrimination

Unchecked biases can result in discriminatory practices, which can lead to regulatory and reputational risks for financial institutions.

Fraud and Manipulation

Phishing and Social Engineering

Generative AI applications in Business using LLMs can be used to generate highly convincing phishing emails or messages, making it easier for attackers to deceive employees or customers

Fraudulent Transactions

Generative AI applications in Business using  Advanced LLMs could be used to manipulate transaction data or create false documentation, making fraud detection more challenging

Operational Risks

Model Inaccuracy

Inaccurate predictions or decisions made by LLMs can lead to financial losses.

For example, incorrect risk assessments or credit evaluations can impact the financial health of an institution.

Overreliance on Automation

Overdependence on LLMs for critical financial decisions without adequate human oversight can result in significant operational risks.

Adversarial Attacks:

Adversarial Inputs

Generative AI applications in Business can be subjected to adversarial inputs. Malicious actors can craft inputs designed to confuse or mislead LLMs, potentially leading to incorrect outputs or actions that can be exploited.

Model Poisoning

Attackers can manipulate the training data or the model itself to introduce vulnerabilities or backdoors.

Attack cases

Exfiltration via Inference API
Exfiltration Cyber means
LLM Meta Prompt extraction
LLM Data leakage
Craft Adversarial Data
Denial of ML service
Spamming with Chaff Data
Erode ML Model integrity
Prompt injection
Plugin Compromise
Jailbreak
Backdoor ML Model
Poision training data
Inference API Access
ML supply chain compromise
Sensitive Information Disclosure
Supply Chain Vulnerabilities
Denial of Service
Insecured Output Handling
Insecure API/plugin/Agent
Excessive API/plugin/Agent Permissions

Regulatory Compliance

Non-Compliance with Regulations

Financial institutions using Generative AI applications in Business must comply with various regulations related to data privacy, fairness, and transparency.

Generative AI applications in Business using LLMs must be designed and implemented in ways that meet these regulatory requirements.

Audit and Explainability

Ensuring that Generative AI applications in Business  using LLMs’ decisions can be audited and explained is crucial for regulatory compliance. Lack of transparency can pose significant challenges.

Generative AI is new attack vector can endanger business applications and enterprises..

A variety of concerns around Gen AI, include  Copyright Legal exposures,

Sensitive information disclosure, Data privacy violations, Domain specific exposures.

Generative AI opens up all kinds of opportunities to obtain sensitive data without even building malware. Anyone to get a hold of the prompt of an LLM and find out sensitive data that has been absorbed with the model’s training process.

“What makes AI security complex?

The Answer is its moving parts.

“Best way to secure AI is to start right now…”

Choosing right security solution

• Right solution is actually what it means to Your organization. Your system, environment, use case.
• Generic service generic product solution may not be right for you. May not cater your Organizations needs.

Vulnerabilities Management in Models, LLMs

• Detect Prompt Injection
• Information leak
• Misinformation
• Perturbations

Mitigation

• Scan Vulnerabilities in Generative AI applications and ML Models
• Models Detection & Management
• Associated risks
• Compliance Score
• Severity Score
• Domain specific AI security
• Manage access to resources in your AI clusters
• Assign the AI service roles on the AI resource’s to Managed identities
•  Detect Poison, Evasion
•  Exfiltration
•  ML supply chain compromise
•  Training time, Inference time attacks
• Spills, leaks, contamination

Risk Analysis

Modelling Adversarial ML, LLM attacks,

ML Supply chain attacks.

Threat intelligence with Alerts (MITRE ATLAS, OWASP)

AI Threat Detection

Threat hunting Alerts in Models and Pipelines,

Model Behaviour Alerts

Anomaly Detection

Pipeline, Data Lineage and Prompt Interaction Alerts

Know your Generative AI and AI attack surface

AI Discovery

Discovery of AI assets, AI Inventory, Catalog

Models, Pipelines, Prompts

Cluster Resources, Compute, Networks

Tracking Analysis

Experiments, Jobs, Runs, Datasets

Tracking Models, Versions, Artifacts

Tracking Parameters, Metrics, Predictions, Artifacts

LLM Tracking, Interactions

Lineage & Pipeline Analysis

Data sources, Data sinks

Map, Topology of Streams

ALERT  AI 

Interoperable end-to-end security solution to help enhance, optimize, manage security of “Generative AI and AI  in Business applications and workflows” against potential adversaries, model vulnerabilities, privacy, copyright and legal exposures, sensitive information leaks, Intelligence and data exfiltration, infiltration at training and inference, integrity attacks in AI applications, anomalies detection and enhanced visibility in AI pipelines. forensics, audit,AI  governance in AI footprint.

Alert AI  provides end-to-end, interoperable, easy to deploy and manage security integration to address security and risks in Generative AI & AI applications.

Alert AI  help Organizations to Enhance, Optimize, Manage security of Generative AI applications in Business workflows.

About Alert AI

• Easy to deploy and manage Generative AI application security integration
• Protection for Generative AI attack vector and vulnerabilities
• Intelligence loss prevention
• Domain-specific security guardrails
• Eliminates Security blind spots of Gen AI Application for InfoSec team
• Seamless integration with Gen AI  service platforms AWS Bedrock, Azure OpenAI, NVidia DGX, Google Vertex AI.  Industry leading Foundation models
• AWS Bedrock, Azure Gen AI, Nvidia DGX, Google
• and Industry leading Foundation Models AWS Amazon Titan, Anthropic Claude,  Nvidia Nemotron, Cohere Command, Google Gemini, IBM Granite,Microsoft Phi, Mistral AI, OpenAI GPT-4

Coverage and Features

• Alerts and Threat detection in AI footprint
• LLM & Model Vulnerabilities Alerts
• Adversarial ML  Alerts
• Prompt, response security and Usage Alerts
• Sensitive content detection Alerts
• Privacy, Copyright and Legal Alerts
• AI application Integrity Threats Detection
• Training, Evaluation, Inference Alerts
• AI visibility, Tracking & Lineage Analysis Alerts
• Pipeline analytics Alerts
• Feedback loop
• AI Forensics
• Compliance Reports
• Domain specific LLM security guardrails

Generative AI security guardrails

Danger, warning,  caution,  notices, recommendations

Enhance, Optimize, Manage security of generative AI applications using Alert AI services.

At ALERT AI, We are developing integrations and models to secure Generative AI & AI workflows in Business applications, and domain specific security guardrails. With over 100+ integrations and thousands of  detections,  the easy to deploy and manage security platform seamlessly integrates AI workflows across Business applications and environments.

Eliminate security Blind-spots

The New Smoke Screen and AI Security Posture

Generative AI introduce a host of new Attack vectors and threats escape current firewalls.

Security solutions like Alert AI can help with current pain point of Breaking the glass ceiling, bridging link between

MLops  and  Information Security operations teams. Having right tools in hands …

Information security  engineers and teams can enforce right Security Posture for AI development across the Organizations  and see through that smoke screen early-on, spot issues, before production.

Enhance, Optimize, Manage security of Generative AI applications using Alert AI  security integration.

Alert AI seamlessly integrates with Generative AI platform of your choice.

Alert AI enables end-to-end security and privacy, intelligence security, detects vulnerabilities, application integrity risks with domain-specific security guardrails for Generative AI applications in Business workflows.

Develop Enhanced Customer Support and Loan Application Processing workflows

• Generative AI managed services like Amazon Bedrock, Azure OpenAI, Nvidia DGX, Vertex AI  to experiment and evaluate industry leading FMs.
• Customization with data, fine-tuning and Retrieval Augmented Generation (RAG) and agents that execute tasks using organizations data sources.

Security Optimization using

• Alert AI integration domain-specific security guardrails
• Enhance, Optimize, Manage Generative AI application security using Alert AI