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Guidance on ICT Risks in the Use of AI at Financial Entities

Guidance on ICT Risks in the Use of AI at Financial Entities

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Guidance

• BaFin § IIntroduction
• BaFin § I.1Definition of an AI system
• BaFin § I.2Subject matter of the guidance
• BaFin § I.3Structure of the guidance
• BaFin § II.1ICT risks resulting from the use of AI
• BaFin § II.2Governance and organisation
• BaFin § II.3ICT risk management framework under DORA
• BaFin § III.1Software development
• BaFin § III.2Testing AI
• BaFin § IV.1Processes for operating and deinstalling AI systems
• BaFin § IV.2Specific aspects relating to cloud computing in AI operations
• BaFin § VCyber- and data security
• BaFin § V.1Cybersecurity
• BaFin § V.2Data security
• BaFin § V.3Reporting major ICT-related incidents
• BaFin § VIConclusions and outlook
• BaFin § AnnexCase study – operating an LLM-based AI assistant