Enterprise Compliance Framework

Provides compliance frameworks and practical mapping guides that must be followed when operating AI platforms in enterprise environments.

Why AI Compliance Is Needed

Traditional IT Compliance vs AI Operations Compliance

Key Difference

Traditional IT compliance deals with static systems, while AI compliance deals with non-deterministic, learning systems.

Area	Traditional IT Compliance	AI Operations Compliance
Predictability	Code → Same input = Same output	Model → Same input may produce varying outputs
Access Control	DB/API level	Model API + Prompt + Output filtering
Audit Trail	Transaction logs	Inference traces + Token usage
Change Management	Code deployment	Model version + LoRA adapter + Playbook
Incident Response	Rollback + Hotfix	Model swap + Guardrails hardening

AI-Specific Risks

AI-Specific Compliance Risks

• Hallucination: Model generates factually incorrect information
• Prompt Injection: Malicious input manipulates model behavior
• PII Exposure: Personal information leaked from training data
• Model Bias: Discriminatory outputs against specific groups
• Token Abuse: Cost explosion and resource exhaustion

These risks must be mapped to existing compliance frameworks to establish actionable controls.

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SOC2 Trust Criteria ↔ AI Operations Mapping

SOC2 (Service Organization Control 2) is a global standard for verifying cloud service security, availability, and confidentiality.

SOC2 Control Mapping Table

SOC2 Control	Trust Criteria	AI Operations Implementation	Technology Stack
CC6.1-6.8	Logical/Physical access control	Model API auth + Data access control	Pod Identity + RBAC + API Key
CC7.1-7.4	System monitoring	Inference request tracking + GPU resource monitoring	LLM Tracing + AMP/AMG + DCGM
CC7.3	Anomaly detection and incident response	Automatic alerts + Playbook rollback	PagerDuty + ArgoCD
CC8.1	Change management	Playbook version control + Approval gates	GitOps + Approval Gate

CC6: Access Control Implementation Example

# EKS Pod Identity + RBAC-based model API access control
apiVersion: v1
kind: ServiceAccount
metadata:
  name: model-api-sa
  annotations:
    eks.amazonaws.com/role-arn: arn:aws:iam::123456789012:role/ModelAPIAccessRole
---
apiVersion: rbac.authorization.k8s.io/v1
kind: Role
metadata:
  name: model-reader
rules:
- apiGroups: ["serving.kserve.io"]
  resources: ["inferenceservices"]
  verbs: ["get", "list"]
---
apiVersion: rbac.authorization.k8s.io/v1
kind: RoleBinding
metadata:
  name: model-reader-binding
subjects:
- kind: ServiceAccount
  name: model-api-sa
roleRef:
  kind: Role
  name: model-reader
  apiGroup: rbac.authorization.k8s.io

CC7.1-7.4 Implementation: LLM Tracing

Record all inference requests as auditable traces. For implementation methods, see Agent Monitoring and LLM Tracing Deployment.

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ISO27001 Annex A ↔ AI Operations Mapping

ISO27001 is the international standard for Information Security Management Systems (ISMS). Annex A defines 114 control items.

ISO27001 Control Mapping Table

Annex A	Control Area	AI Operations Implementation	Technology Stack
A.8	Asset management	Model registry + LoRA adapter management	ECR + MLflow Model Registry
A.9	Access control	API Key management + RBAC + Multi-tenant isolation	kgateway + Pod Identity
A.12	Operational security	Logging + Monitoring + Backup	CloudTrail + AMP/AMG + S3
A.14	System development security	Playbook CI/CD + Automated code review	ArgoCD + Guardrails API
A.16	Information security incident management	Automatic detection + Automatic response	Alerts + Playbook rollback
A.17	Business continuity	Multi-AZ deployment + Autoscaling	EKS + Karpenter

A.14 Implementation: Playbook CI/CD Pipeline

A.16 Incident Management: Auto-Rollback Example

apiVersion: argoproj.io/v1alpha1
kind: Rollout
metadata:
  name: inference-api
spec:
  strategy:
    canary:
      analysis:
        templates:
        - templateName: hallucination-check
        args:
        - name: threshold
          value: "0.05"  # Auto-rollback if hallucination rate > 5%

---

Financial Regulation Mapping

Electronic Financial Supervisory Regulation (전자금융감독규정) Mapping

Article	Content	AI Operations Mapping	Implementation
Article 15	Access control and authorization management	Model API authentication + Audit logs	API Key + CloudTrail
Article 17	Electronic financial transaction data encryption	Data encryption + TLS	KMS + ALB TLS
Article 34	Transaction and transfer limit settings	Token usage limits + Rate Limiting	kgateway rate-limit

Article 34 Implementation: Token Usage Limits

apiVersion: gateway.solo.io/v1
kind: RateLimitConfig
metadata:
  name: token-limit
spec:
  rateLimits:
  - actions:
    - genericKey:
        descriptorValue: "token-usage"
    limit:
      requestsPerUnit: 100000  # 100K tokens/hour
      unit: HOUR

ISMS-P (Korean Personal Information & Information Security Management System) Mapping

Item	Requirement	AI Operations Mapping	Implementation
2.6	Access control	API Key + RBAC + Multi-factor authentication	Pod Identity + MFA
2.9	System and service development security	Playbook version control + Guardrails	Git + Guardrails Stack
2.11	Information security incident management	Automatic incident detection and response	Alerts + Auto rollback

ISMS-P Related: PII Detection and Blocking

PII detection/blocking through Guardrails is a technical control that satisfies ISMS-P personal information processing and access control requirements.

For technical implementation, refer to AI Gateway Guardrails — provides implementation patterns and kgateway/Bifrost integration examples including Microsoft Presidio Korean recognizer, Bedrock Guardrails ApplyGuardrail API, and Guardrails AI DetectPII validator.

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Automated Verification CI/CD Pipeline

Pipeline Stage Description

Stage	Purpose	Tool	Action on Failure
Unit Tests	Verify functional integrity	pytest	Block PR
RAGAS Eval	Verify RAG accuracy	RAGAS	Block PR if below threshold
Guardrails Test	Verify PII, hallucination, bias	Guardrails AI	Immediate failure
Compliance Check	Verify SOC2/ISO27001 controls	Custom script	Notify audit team
Red-teaming	Test adversarial prompts	Garak	Escalate to security team
Approval Gate	Manual approval	GitHub Actions	Wait for approval

Compliance Check Automation Example

def check_compliance(playbook_path):
    """SOC2 CC8.1: Change management control"""
    # 1. Verify approvers
    approvers = get_pr_approvers()
    if len(approvers) < 2:
        raise Exception("Requires at least 2 approvers (SOC2 CC8.1)")
    
    # 2. Analyze change impact
    affected_models = analyze_affected_models(playbook_path)
    if "production" in affected_models:
        notify_audit_team(playbook_path)
    
    # 3. Record audit log
    log_to_cloudtrail(playbook_path, approvers)

---

Audit Data Retention Policy

Per-Data-Classification Retention Criteria

Data	Storage Location	Retention Period	Access Authority	Legal Basis
Inference traces	LLM Tracing + S3	3 years	Audit team, DevOps	ISO27001 A.12.4
API call logs	CloudTrail + S3	5 years	Security team, Audit team	Electronic Financial Supervisory Regulation (전자금융감독규정) Article 19
Model change history	Git + ECR	Permanent	DevOps, ML team	SOC2 CC8.1
GPU metrics	AMP + S3	1 year	Operations team	Internal policy
PII detection logs	CloudWatch + S3	3 years	Security team, Compliance team	ISMS-P 2.11

S3 Lifecycle Policy Example

{
  "Rules": [
    {
      "Id": "inference-trace-lifecycle",
      "Status": "Enabled",
      "Transitions": [
        {
          "Days": 90,
          "StorageClass": "STANDARD_IA"
        },
        {
          "Days": 365,
          "StorageClass": "GLACIER"
        }
      ],
      "Expiration": {
        "Days": 1095
      }
    }
  ]
}

Ensuring Audit Data Integrity

• S3 Object Lock: Prevent deletion (WORM mode)
• CloudTrail Validation: Verify tampering with aws cloudtrail validate-logs
• Immutable Trace: Traces in LLM tracing systems are immutable after creation (e.g., Langfuse)

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Practical Checklists

SOC2 Audit Preparation

• CC6.1-6.8: Pod Identity + RBAC configuration complete
• CC7.1-7.4: LLM Tracing + AMP/AMG monitoring built
• CC7.3: PagerDuty alerts + Auto rollback configured
• CC8.1: GitOps + Approval Gate applied

ISO27001 Certification Preparation

• A.8: MLflow Model Registry built
• A.9: kgateway + API Key management system
• A.12: CloudTrail + S3 audit log retention
• A.14: CI/CD pipeline automated verification
• A.16: Incident response Playbook created
• A.17: Multi-AZ + Karpenter autoscaling

Financial Regulation Compliance

• Electronic Financial Supervisory Regulation (전자금융감독규정) Article 15: API access control
• Electronic Financial Supervisory Regulation (전자금융감독규정) Article 17: TLS + KMS encryption
• Electronic Financial Supervisory Regulation (전자금융감독규정) Article 34: Rate Limiting
• ISMS-P 2.6: MFA applied
• ISMS-P 2.9: Guardrails API integration
• ISMS-P 2.11: Automated incident response

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References

• SOC2 Trust Services Criteria
• ISO/IEC 27001:2022
• Electronic Financial Supervisory Regulations (FSC)
• ISMS-P Certification Standards (KISA)
• Agent Monitoring Architecture
• LLMOps Observability Comparison
• AI Gateway Guardrails — Technical implementation details (PII, Injection defense, tool comparison)
• Guardrails AI Security