AI Products: Policies, Procedures, Checklists & Toolkits

EU AI Act Compliance Templates | AI Governance Policies | AI Risk Assessments | DORA Documentation | High-Risk AI Compliance

Practical AI Governance & Compliance Documentation for Financial Institutions

Artificial intelligence is transforming the financial services industry. Banks, insurance companies, asset managers, investment firms, leasing and factoring companies, payment institutions and other financial services providers increasingly use AI for creditworthiness assessments, insurance pricing, fraud detection, anti-money laundering, investment management, customer communications and operational processes.

These developments create new requirements for governance, risk management, regulatory compliance and internal controls.

Understanding regulatory obligations is not enough. Financial institutions need documented policies, procedures, risk assessments, internal controls and records that translate regulatory requirements into day-to-day operations.

The European Union’s Artificial Intelligence Act (EU AI Act), Germany’s AI Market Surveillance and Innovation Promotion Act (KI-MIG), the Digital Operational Resilience Act (DORA) and existing financial-sector regulations form the regulatory framework within which these arrangements must be developed.

Leitner & Associates, a professional service of Andreas Leitner GmbH, provides specialist AI governance and compliance documentation products designed for banks, insurers, asset managers, investment firms, payment institutions and other regulated financial services providers.

Our product portfolio includes:

AI Policies & Guidelines — Governance policies, risk management frameworks, acceptable-use guidelines and other internal rules.
AI Procedures & Process Descriptions — Documented operating procedures covering the AI system lifecycle.
AI Risk Assessments & Reports — Regulatory assessments, risk analyses, impact assessments and management reporting templates.
AI Checklists & Assessment Tools — Structured tools for regulatory classification, control reviews, compliance assessments and audit preparation.
AI Registers, Forms & Templates — AI inventories, responsibilities matrices, control registers, approval forms and monitoring records.
AI Compliance Toolkits — Integrated documentation packages for specific regulatory requirements and implementation objectives.

Our products are designed to be editable, adaptable and suitable for integration into existing governance, risk management and internal control frameworks.

From regulatory requirements to practical compliance documentation.

Explore Our AI Compliance Toolkits

Request the AI Compliance Product Catalogue

AI Compliance Documentation: From Regulation to Operational Implementation

The EU AI Act establishes requirements for AI providers, deployers and other operators according to the intended purpose and regulatory classification of individual AI systems.

Depending on the circumstances, these requirements may address:

AI literacy and organisational competence
Prohibited AI practices and transparency obligations
High-risk AI classification and regulatory responsibilities
Risk management and data governance
Technical documentation and record-keeping
Human oversight and intervention
Accuracy, robustness and cybersecurity
Conformity assessment and monitoring
Fundamental rights impact assessments
Compliance monitoring and corrective measures

For financial institutions, these requirements interact with existing regulatory frameworks governing business organisation, risk management, internal controls, ICT risk management and operational resilience.

Not every AI system is high-risk, and not every documentation requirement applies to every institution.

The essential challenge is identifying which requirements apply and documenting how they are addressed within the organisation.

Our AI compliance products provide structured resources for implementing applicable requirements, assigning responsibilities, maintaining records and supporting internal governance.

Designed for Financial-Sector Governance

Unlike generic AI policy templates, our documentation products are developed with the regulatory environment of financial institutions in mind.

They are designed to support integration with existing policies, internal control systems, risk management processes and applicable ICT governance arrangements.

The objective is to avoid unnecessary duplication while establishing appropriate AI-specific processes and controls.

Our AI Policies, Procedures, Checklists & Documentation Products

1. AI Policies & Guidelines

Establish clear governance principles, responsibilities and internal rules for artificial intelligence.

AI policies and guidelines define how artificial intelligence may be developed, procured, deployed, used and monitored within an organisation.

They provide a basis for internal governance and establish expectations concerning risk management, compliance, information security and responsible AI use.

Our product range includes:

AI Governance Policy

Defines AI governance principles, organisational responsibilities, management oversight, approval arrangements and requirements for risk management and internal controls.

AI Acceptable Use Policy

Establishes permitted and prohibited uses of AI systems, employee responsibilities, authorisation requirements and appropriate safeguards.

Generative AI & Large Language Model Policy

Provides internal rules for the use of generative AI, AI assistants and large language models, including confidentiality, data protection, output verification and human oversight.

AI Risk Management Policy

Defines the framework for identifying, assessing, mitigating, monitoring and reporting AI-related risks.

AI Data Governance & Quality Policy

Establishes relevant principles for data quality, data governance, traceability and the assessment of potential bias.

AI Human Oversight Policy

Defines responsibilities and arrangements for human review, intervention, escalation and control of AI-supported decisions.

AI Third-Party Risk Management Policy

Establishes governance requirements for external AI service providers, contractual arrangements, risk assessments and ongoing monitoring.

AI Literacy & Training Policy

Defines the organisation’s approach to appropriate AI literacy measures, training needs, responsibilities and relevant records.

Typical product format: Editable policy document with defined responsibilities, governance provisions, implementation guidance and document control information.

Your benefit: A structured foundation for implementing consistent AI governance and internal rules.

2. AI Procedures & Process Descriptions

Translate AI governance requirements into documented operational processes.

Policies define principles and responsibilities. Procedures describe how requirements are implemented and how activities are performed, reviewed and documented.

Our procedures are designed to support the operational management of AI systems throughout their lifecycle.

The product range includes:

AI System Identification & Classification Procedure

Describes how AI systems are identified, registered, classified and assessed against applicable EU AI Act requirements.

AI Use-Case Assessment & Approval Procedure

Establishes the process for evaluating and approving new AI applications, including responsibilities, risk assessments, decisions and documentation.

AI Risk Assessment Procedure

Defines the steps for identifying, evaluating, documenting and managing AI-related risks.

AI Development, Testing & Validation Procedure

Describes relevant controls for AI system development, testing, validation, approval and deployment.

AI Human Oversight Procedure

Establishes operational arrangements for human review, intervention, escalation and monitoring.

AI Change Management Procedure

Defines how material system changes, new use cases and modifications are assessed, approved and documented.

AI Third-Party Due Diligence Procedure

Describes the assessment and oversight of external AI suppliers, including relevant regulatory, contractual and operational risks.

AI Incident Management & Escalation Procedure

Establishes processes for identifying, recording, assessing and escalating AI-related incidents, including regulatory reporting considerations where applicable.

AI Monitoring & Periodic Review Procedure

Defines processes for ongoing monitoring, periodic reassessment, control reviews and management reporting.

AI Decommissioning Procedure

Describes the controlled retirement or replacement of AI systems, including relevant documentation, data handling and third-party considerations.

Typical product format: Editable procedure or process description with process steps, responsibilities, control activities, records and supporting forms.

Your benefit: Clear, repeatable processes for managing AI applications and documenting relevant control activities.

3. AI Risk Assessments & Regulatory Reports

Assess AI-related risks, document regulatory conclusions and support informed management decisions.

Financial institutions require structured assessments to evaluate AI applications, identify relevant obligations and manage associated risks.

Our assessment templates and reports support consistent, evidence-based evaluation.

Available product categories include:

EU AI Act Applicability Assessment — Determine whether and how the regulation applies to a particular AI system or activity.
AI Risk Classification Assessment — Evaluate the AI system against relevant risk categories and classification criteria.
AI Governance Gap Analysis — Compare existing governance arrangements with applicable regulatory and organisational requirements.
AI Risk Assessment — Identify relevant risks, evaluate controls, determine residual risks and document proposed mitigation measures.
High-Risk AI Compliance Assessment — Assess compliance with applicable requirements for relevant high-risk AI systems.
Fundamental Rights Impact Assessment (FRIA) — Support the assessment of potential impacts on fundamental rights where Article 27 applies.
AI & DORA ICT Risk Assessment — Identify and assess relevant ICT risks arising from AI applications.
AI Third-Party Risk Assessment — Evaluate relevant risks associated with external AI systems and service providers.
AI Data Quality & Bias Assessment — Review relevant data quality, representativeness and potential bias considerations.
AI Compliance Monitoring Report — Record compliance review activities, results, deficiencies and corrective measures.
AI Management Report — Present material risks, implementation progress, findings and required decisions.
AI Remediation Effectiveness Report — Document the assessment of implemented corrective measures.

Typical product format: Editable assessment or report template with evaluation criteria, relevant legal references, findings, conclusions and action tracking.

Your benefit: Consistent documentation of regulatory assessments, risk evaluations and management decisions.

4. AI Checklists & Assessment Tools

Use structured checklists to identify obligations, review controls and prepare for regulatory examinations.

Checklists provide a practical way to translate complex requirements into defined assessment questions and supporting evidence.

Our range includes:

EU AI Act Applicability Checklist
AI Provider & Deployer Responsibilities Checklist
Prohibited AI Practices Checklist
AI System Classification Checklist
AI Governance & Internal Controls Checklist
High-Risk AI Compliance Checklist
AI Human Oversight Checklist
AI Technical Documentation Checklist
AI & DORA Compliance Checklist
AI Third-Party Due Diligence Checklist
Generative AI Risk Assessment Checklist
AI Literacy & Training Checklist
AI Audit & Examination Readiness Checklist
AI Remediation Verification Checklist

Checklists can be used by Compliance, Risk Management, ICT, Information Security, business functions and Internal Audit, according to their responsibilities.

Typical product format: Editable checklist with assessment questions, applicable requirements, evidence references, findings and corrective action fields.

Your benefit: Structured and repeatable evaluations that support internal controls, regulatory assessments and audit preparation.

5. AI Registers, Forms & Templates

Maintain traceable records of AI systems, responsibilities, risks, decisions and corrective actions.

Registers and forms provide operational evidence of governance and compliance activities.

Our product range includes:

AI System Inventory

A structured register of AI applications, intended purposes, business owners, regulatory classifications, relevant service providers and review information.

AI Risk Register

A record of identified AI-related risks, assessments, controls, mitigation measures, responsibilities and risk status.

AI Risk & Control Matrix

A structured mapping of AI-related risks, applicable requirements, control objectives, control activities, responsible functions and testing information.

AI Responsibilities Matrix

A tool for allocating responsibilities across management, business functions, Compliance, Risk Management, ICT, Information Security and Internal Audit.

AI Use-Case Approval Form

A standardised form for documenting the assessment and approval of new AI applications.

AI Third-Party Register

A record of relevant external AI service providers, dependencies, responsibilities, risk assessments and monitoring activities.

AI Incident Register

A tool for recording AI-related incidents, their assessment, escalation, corrective measures and closure status.

AI Training & Competency Register

A structured record of AI literacy measures, relevant target groups, participation and competency assessments.

AI Audit Findings Register

A register for recording findings, risk priorities, recommendations, action owners and follow-up activities.

AI Remediation Tracker

A tool for monitoring corrective actions, responsibilities, deadlines, implementation evidence and closure decisions.

Typical product format: Editable spreadsheet or form with structured fields, instructions and relevant document references.

Your benefit: Consistent, traceable records supporting governance, internal controls and supervisory information requests.

Our AI Compliance Toolkits

In addition to individual documents, we offer integrated documentation packages covering specific implementation objectives and regulatory requirements.

These packages bring together complementary policies, procedures, assessments, checklists, forms and reporting tools.

Toolkit 1 — EU AI Act & KI-MIG Readiness

Identify applicable regulatory requirements and prepare your organisation for implementation.

This toolkit supports the initial assessment of AI applications and regulatory obligations.

Typical contents:

EU AI Act Applicability Checklist
AI System Inventory
AI Regulatory Classification Matrix
Provider & Deployer Responsibilities Assessment
Prohibited AI Practices Checklist
AI Compliance Gap Analysis
Regulatory Requirements Register
Implementation Roadmap
Corrective Action Plan

Suitable for: Financial institutions beginning EU AI Act implementation or reviewing their existing compliance position.

Your outcome: A structured assessment of relevant AI systems, applicable regulatory obligations and identified implementation priorities.

Enquire About the AI Act & KI-MIG Readiness Toolkit

Toolkit 2 — AI Governance & Internal Controls

Establish and document an effective AI governance and internal control framework.

This toolkit provides complementary documents for defining organisational responsibilities, AI governance arrangements and operational controls.

Typical contents:

AI Governance Policy
AI Acceptable Use Policy
AI Governance Responsibilities Matrix
AI Risk Management Policy
AI Risk Assessment Methodology
AI Risk & Control Matrix
AI System Approval Procedure
Human Oversight Procedure
AI Compliance Monitoring Plan
AI Management Reporting Template

Suitable for: Banks, insurers and other financial institutions establishing or enhancing AI governance arrangements.

Your outcome: A structured documentation framework covering AI governance, risk management, responsibilities and internal controls.

Enquire About the AI Governance & Internal Controls Toolkit

Toolkit 3 — AI Risk Management & DORA

Integrate AI-related ICT risks into existing digital operational resilience arrangements.

This toolkit supports the identification, assessment and management of ICT risks arising from AI applications.

Typical contents:

AI & DORA Regulatory Requirements Checklist
AI-Related ICT Risk Assessment
AI Information Security Checklist
AI System Lifecycle Control Procedure
AI Development & Change Management Procedure
AI Third-Party Risk Assessment
AI Supplier Due Diligence Questionnaire
AI-Related ICT Control Matrix
AI Incident Management Checklist
AI Monitoring & Review Plan
Relevant Business Continuity and Exit Planning Templates

Suitable for: Financial entities subject to DORA that develop, procure, deploy or operate AI systems.

Your outcome: Structured documentation supporting the integration of AI-related ICT risks into existing DORA frameworks.

Enquire About the AI Risk Management & DORA Toolkit

Toolkit 4 — High-Risk AI Compliance

Implement and document the requirements applicable to relevant high-risk AI systems.

Certain AI applications in the financial services industry fall within the high-risk categories established by Annex III of the EU AI Act.

These include specified AI systems used to assess the creditworthiness of natural persons and certain applications in life and health insurance risk assessment and pricing, subject to applicable conditions and exceptions.

Our High-Risk AI Compliance Toolkit is structured according to the organisation’s regulatory role.

Provider Edition — Typical contents:

High-Risk AI Classification Assessment
Regulatory Requirements Matrix
AI Risk Management System Documentation
Data Governance & Quality Assessment
Technical Documentation Checklist
Quality Management System Documentation Templates
Human Oversight Requirements Checklist
AI Testing & Validation Records
Conformity Assessment Preparation Checklist
Post-Market Monitoring Documentation
Incident Reporting & Corrective Action Procedures

Deployer Edition — Typical contents:

High-Risk AI Use & Responsibilities Assessment
Provider Documentation Review Checklist
Human Oversight Procedure
AI Operational Monitoring Checklist
AI Input Data Assessment
Relevant Logging & Record-Keeping Checklist
Fundamental Rights Impact Assessment Template, where applicable
AI Incident Escalation Procedure
High-Risk AI Compliance Monitoring Register
AI Compliance Evidence Checklist

Suitable for: Financial institutions and AI providers involved in relevant high-risk applications.

Your outcome: Role-specific documentation supporting the implementation and assessment of applicable high-risk AI requirements.

Enquire About the High-Risk AI Compliance Toolkit

Toolkit 5 — AI Literacy & Training

Establish structured AI literacy programmes and document relevant training measures.

Article 4 of the EU AI Act requires providers and deployers to take appropriate measures supporting AI literacy.

This toolkit helps organisations develop, organise and document those measures.

Typical contents:

AI Literacy & Training Policy
AI Training Needs Assessment
AI Role & Competency Matrix
AI Literacy Training Programme Template
AI Training Plan
Generative AI Awareness Checklist
Training Attendance Register
Knowledge Assessment Template
Training Completion Record
AI Training Management Report
Training Review & Update Plan

Suitable for: Financial institutions establishing organisation-wide or role-specific AI literacy initiatives.

Your outcome: A structured framework for planning, delivering and recording appropriate AI literacy measures.

Article 4 does not universally require a particular course, external certificate or standardised documentation package.

Enquire About the AI Literacy & Training Toolkit

Toolkit 6 — AI Audit, BaFin Examination Readiness & Remediation

Assess governance and controls, prepare regulatory evidence and manage identified deficiencies.

This toolkit supports internal compliance reviews, audit preparation and structured remediation.

Germany’s KI-MIG assigns BaFin market surveillance responsibilities for specified AI systems directly related to regulated financial activities involving designated supervised institutions.

Financial institutions may need to demonstrate compliance with applicable requirements through policies, assessments, records, controls and other supporting evidence.

Typical contents:

AI Audit Planning Template
EU AI Act Compliance Audit Checklist
AI Governance Review Programme
AI Risk & Control Testing Matrix
AI & DORA Audit Checklist
BaFin AI Examination Readiness Checklist
Regulatory Evidence Request List
AI Audit Report Template
Findings & Recommendations Register
Root Cause Analysis Template
Remediation Action Plan
Corrective Action Tracker
Remediation Effectiveness Review Checklist
Management Reporting Template

Suitable for: Compliance functions, Risk Management, Internal Audit and financial institutions preparing for regulatory reviews or addressing identified deficiencies.

Your outcome: A documented framework for compliance assessments, audit preparation, findings management and remediation.

These are independent commercial review and documentation tools, not official BaFin templates or supervisory certification instruments.

Enquire About the AI Audit & Remediation Toolkit

Individual AI Compliance Templates or Complete Documentation Packages?

Different financial institutions have different implementation needs.

Some institutions require a single policy or risk assessment template. Others need an integrated documentation framework covering multiple regulatory obligations and internal processes.

Leitner & Associates offers a modular product structure designed to accommodate these different requirements.

Individual AI Compliance Documents

Suitable for organisations requiring a particular policy, procedure, checklist, register or assessment template.

Standard AI Compliance Toolkits

Suitable for institutions addressing a specific regulatory topic or implementation workstream.

Institution-Specific Documentation Packages

Suitable for financial institutions requiring adapted policies, procedures, risk assessments and controls aligned with their business model and existing governance framework.

Regulatory Documentation Updates

Ongoing support may be arranged to review and update selected documentation following relevant regulatory changes or changes to organisational requirements.

Our objective is to provide documentation that can be adapted to your institution, not generic documents presented as universally sufficient for regulatory compliance.

Editable, Structured & Implementation-Oriented Documentation

Our compliance products are designed for practical use within regulated financial institutions.

Depending on the selected product and agreed delivery scope, documentation packages can include:

Editable Word documents for policies, guidelines, procedures and reports
Editable Excel files for inventories, assessments, checklists, registers and action trackers
Structured document titles, responsibilities, approval fields and version information
Regulatory requirements references and supporting guidance
Defined assessment criteria and control objectives
Implementation instructions and suggested evidence requirements
Responsibilities and review arrangements
Document change histories and update information

Where appropriate, documents can be adapted to the institution’s existing internal documentation standards.

Each template requires an assessment of its relevance, adaptation to the organisation and appropriate internal approval before operational use.

AI Compliance Products for Banks, Insurers & Financial Institutions

Our products are developed with particular attention to the regulatory environment and practical requirements of the financial services industry.

Banks & Credit Institutions

AI governance policies, creditworthiness assessment checklists, AI risk and control matrices, AML/KYC governance documentation, generative AI policies and relevant DORA integration tools.

Insurance Companies

AI governance documentation for underwriting, pricing, claims management, fraud prevention and relevant high-risk AI applications in life and health insurance.

Fund Management Companies & Asset Managers

Policies, procedures and risk assessments for AI in portfolio management, investment research, investment decision support, risk management and compliance.

Investment Firms & Financial Services Providers

AI governance and compliance tools for investment advice, trading-related applications, customer services, internal controls and relevant supervisory requirements.

Leasing & Factoring Companies

AI risk assessments, classification checklists, approval procedures and control templates for credit analysis, receivables management, contract processing and fraud prevention.

Payment & Electronic Money Institutions

AI governance documentation for payment monitoring, financial crime prevention, transaction analysis, customer services and ICT third-party risk management.

FinTech, RegTech & AI Solution Providers

Provider-oriented documentation covering regulatory classification, high-risk AI requirements, quality management, technical documentation, relevant conformity assessment preparation and monitoring.

Regulatory Requirements Behind Our AI Compliance Products

Our documentation portfolio is based on the requirements that may arise under the relevant European and national regulatory frameworks.

EU Artificial Intelligence Act — Regulation (EU) 2024/1689

The EU AI Act establishes obligations relating to AI literacy, prohibited practices, transparency, high-risk AI systems and other regulated activities.

Relevant provisions include:

Article 4: AI literacy measures
Article 5: Prohibited AI practices
Article 6: Classification of high-risk AI systems
Article 9: Risk management systems for high-risk AI
Article 10: Data and data governance requirements
Article 11: Technical documentation
Article 12: Record-keeping
Article 14: Human oversight
Article 17: Quality management systems for relevant providers
Article 26: Obligations of deployers of high-risk AI systems
Article 27: Fundamental rights impact assessments for specified deployers
Article 50: Transparency obligations for certain AI systems

The relevant requirements and dates of application depend on the regulation’s current provisions, including amendments and transitional rules.

Germany’s KI-MIG

The KI-MIG supplements the EU AI Act by establishing national arrangements for market surveillance, competent authorities and other implementation matters.

Under § 2(3) KI-MIG, BaFin has specified market surveillance responsibilities in relation to AI systems directly connected with regulated financial activities.

Our documentation products can support institutions in preparing evidence of their compliance arrangements where these requirements are applicable.

Digital Operational Resilience Act — DORA

Financial entities subject to DORA must manage relevant ICT risks and ICT third-party risks within their digital operational resilience arrangements.

Our AI & DORA products support the identification, assessment, documentation and control of relevant AI-related ICT risks.

These templates are not substitutes for other mandatory DORA documentation, including the prescribed ICT third-party register of information where required.

Existing Financial-Sector Regulation

Depending on the institution, other relevant requirements may arise under KWG, MaRisk, VAG, Solvency II, KAGB, WpHG, WpIG, ZAG, GDPR and related legislation.

Our products are intended to support the integration of AI governance into existing regulatory and organisational structures.

Our Approach to AI Compliance Documentation

We support financial institutions in selecting, adapting and implementing suitable documentation products.

Step 1 — Identify Relevant Requirements

Determine the institution’s regulatory status, relevant AI applications, operator responsibilities and documentation needs.

Step 2 — Select the Appropriate Products

Identify the policies, procedures, checklists, assessments and registers required for the intended implementation scope.

Step 3 — Adapt the Documentation

Adjust the selected templates to the organisation’s business model, governance arrangements, responsibilities, AI applications and internal requirements.

Step 4 — Implement Policies, Procedures & Controls

Support internal review, approval, communication and operational implementation of the documentation.

Step 5 — Review & Maintain

Establish appropriate review arrangements and update documentation when relevant regulatory requirements, AI systems or organisational circumstances change.

From adaptable templates to institution-specific governance and compliance documentation.

Why Choose AI Compliance Products from Leitner & Associates?

Specialist Financial-Sector Regulatory Expertise

Leitner & Associates specialises in Governance, Risk & Compliance within the regulated financial services industry.

Our products reflect the importance of documented responsibilities, risk management, internal controls and supervisory expectations.

Practical and Adaptable Documentation

Our documentation is designed to provide a structured foundation for implementation rather than theoretical regulatory commentary alone.

Integrated Regulatory Perspective

We consider AI-specific requirements alongside existing financial-sector governance, risk management, data protection and applicable DORA arrangements.

Modular Product Portfolio

Institutions can select individual documents, topic-specific toolkits or customised documentation packages according to their needs.

Consulting, Training & Implementation Support

Our documentation products can be complemented by AI audits, consulting, implementation assistance, training, interim management and ongoing compliance support.

Experienced Professional Leadership

Leitner & Associates is led by Andreas Leitner, whose professional experience includes positions at Deloitte, BNP Paribas and Allianz, together with extensive experience in Compliance, Anti-Money Laundering, Risk Management and regulatory implementation.

Leitner & Associates is a professional service of Andreas Leitner GmbH.

Further information: https://leitnerassociates.com

Frequently Asked Questions About AI Compliance Templates & Toolkits

What are EU AI Act compliance templates?

EU AI Act compliance templates are structured documents, checklists, registers and assessment tools designed to support the implementation and documentation of applicable AI Act requirements.

They can help organisations establish policies, allocate responsibilities, assess risks, document decisions and monitor compliance.

Does the EU AI Act require every company to have an AI governance policy?

The EU AI Act does not universally require every organisation using AI to adopt a separate document entitled “AI Governance Policy”.

However, particular operators and AI systems are subject to specific governance, risk management, documentation and control obligations.

For example, Article 17 establishes documented quality management system requirements for providers of relevant high-risk AI systems.

A governance policy can also be a practical tool for coordinating applicable requirements.

Is an AI system inventory mandatory?

The EU AI Act does not establish one universal inventory obligation covering every AI application used by every organisation.

Nevertheless, an AI system inventory provides a practical basis for identifying applications, determining regulatory requirements and allocating responsibilities.

Specific documentation, logging and registration obligations apply to certain AI systems and operators.

What documentation is required for high-risk AI systems?

The requirements depend on whether the organisation acts as a provider, deployer or another operator.

Relevant obligations can include risk management documentation, technical documentation, record-keeping, quality management arrangements, human oversight procedures and monitoring records.

Not all of these requirements apply identically to providers and deployers.

What is a fundamental rights impact assessment?

A fundamental rights impact assessment evaluates potential impacts of relevant high-risk AI systems on affected individuals and groups.

Article 27 requires specified deployers to conduct such assessments before the first use of certain high-risk AI systems.

The requirement is not universal for every AI application.

Our FRIA template is designed to assist with relevant assessments where the obligation applies.

Are AI literacy training records mandatory?

Article 4 requires appropriate measures supporting AI literacy but does not prescribe a universal external certificate or one mandatory training register format.

Training records, competency matrices and participation documentation can provide useful evidence of the measures undertaken.

What is the difference between an AI policy and an AI procedure?

An AI policy establishes governance principles, responsibilities and internal requirements.

An AI procedure describes how specific activities are performed, including process steps, approvals, controls, documentation and reporting.

Both can form part of an integrated governance framework.

Can AI compliance templates replace legal advice or regulatory consulting?

No. Templates provide structured starting points for implementing and documenting relevant requirements.

Their legal applicability, adequacy and suitability depend on the organisation’s circumstances, AI systems and regulatory obligations.

Where necessary, institution-specific legal assessment and implementation support should be obtained.

Are the templates suitable for banks and insurance companies?

The product portfolio is specifically designed around governance and compliance requirements relevant to financial institutions.

However, individual documents must be adapted to the institution’s business model, supervisory status, AI systems and internal organisation.

Can the documents be customised?

Yes. Leitner & Associates can support the adaptation of selected templates and toolkits to the institution’s governance arrangements, internal documentation standards and regulatory requirements.

Customisation can be combined with consulting, implementation, training and remediation services.

Are the templates editable?

Our product portfolio is designed around editable documentation.

Depending on the product, suitable formats include Microsoft Word for policies, procedures and reports, and Microsoft Excel for registers, checklists and assessment tools.

The exact contents and delivery formats are defined in the relevant product specification.

Can existing governance and DORA documentation be reused?

Yes. Existing policies, risk assessment methods, internal control procedures and ICT governance arrangements may provide a suitable foundation for AI-related requirements.

The objective should be to identify necessary AI-specific additions rather than duplicate established processes unnecessarily.

Are the products official EU or BaFin templates?

No. These are independent commercial compliance documentation products developed by Leitner & Associates.

They are not issued, approved or certified by the European Union, European Commission, BaFin or another supervisory authority.

Where a legal provision prescribes an official form or reporting format, that requirement must be followed.

How can financial institutions obtain AI compliance products?

Contact Leitner & Associates to request information about individual templates, integrated toolkits or customised documentation packages.

The appropriate products can be selected according to your organisation’s regulatory status, AI systems and implementation requirements.

Build an Effective AI Governance Framework with Practical Compliance Documentation

Does your financial institution have the policies, procedures, risk assessments, checklists and registers needed to implement and document applicable AI regulatory requirements?

Leitner & Associates provides specialist AI compliance documentation products designed for banks, insurance companies, asset managers, investment firms, leasing and factoring companies, payment institutions and other regulated financial services providers.

Whether you require an AI Governance Policy, AI System Inventory, AI Risk Assessment, High-Risk AI Compliance Toolkit, DORA documentation package or a complete AI governance framework, we can help you select and adapt appropriate documentation resources.

Our products combine structured regulatory requirements with practical implementation tools and can be complemented by specialist consulting, training, audit and ongoing compliance support.

Document responsibilities. Establish controls. Support regulatory compliance.

Request the AI Compliance Product Catalogue

Enquire About AI Policies, Procedures & Toolkits

Discuss a Customised AI Compliance Documentation Package