Skip to content

Control 3.9: AI Disclosure, Transparency, and SEC Marketing Rule — Troubleshooting

Common issues and resolution steps for AI disclosure and transparency controls.

Common Issues

Issue 1: Sensitivity Label Content Markings Not Appearing

  • Symptoms: The AI-Assisted Content label is applied but header/footer markings are not visible in the document.
  • Root Cause: Content marking settings may not be enabled in the label policy, or the application does not support content markings.
  • Resolution:
  • Verify the label configuration includes content marking: Get-Label -Identity "AI-Assisted-Content" | Select *Marking*
  • Confirm the label policy is published and distributed: check DistributionStatus.
  • Ensure the user is running a supported version of Office that renders content markings.
  • Test in Word desktop (full support) before testing in web or mobile apps.

Issue 2: DLP Policy Not Detecting Copilot-Assisted Content

  • Symptoms: External emails drafted with Copilot assistance are sent without AI disclosure and are not blocked by DLP.
  • Root Cause: The DLP rule conditions may not correctly identify Copilot-assisted content, or the sensitivity label is not being automatically applied.
  • Resolution:
  • Verify the DLP policy is enabled and distributed.
  • Check that the DLP rule conditions correctly reference the AI-Assisted Content label or Copilot metadata.
  • Consider implementing auto-labeling to apply the AI-Assisted Content label to Copilot-generated content automatically.
  • As an interim measure, rely on user training and communication compliance review for detection.

Issue 3: Users Bypassing AI Disclosure Requirements

  • Symptoms: Users override DLP policy tips and send undisclosed AI-assisted content externally.
  • Root Cause: DLP policy is set to "Block with override" allowing users to bypass, or users are not trained on disclosure requirements.
  • Resolution:
  • Review override justifications in the DLP incident reports.
  • If overrides are excessive, change the policy action from "Block with override" to "Block" for high-risk groups.
  • Conduct targeted training for teams with high override rates.
  • Add override usage to supervisory reporting for compliance review.

Issue 4: SEC Marketing Rule Classification Inaccurate

  • Symptoms: Non-marketing content is being flagged as requiring SEC Marketing Rule review, or actual marketing content is missed.
  • Root Cause: Detection conditions may be too broad or too narrow, or user groups are not correctly scoped.
  • Resolution:
  • Review the policy scope to ensure only marketing and client-facing teams are targeted.
  • Refine keyword lists to distinguish marketing language from general business communication.
  • Add exclusion conditions for internal communications and non-client content.
  • Consider using trainable classifiers specifically trained on the firm's marketing content.

Diagnostic Steps

  1. Check label deployment: Get-LabelPolicy | Select Name, Enabled, DistributionStatus
  2. Review DLP incidents: Get-DlpDetectionsReport -StartDate (Get-Date).AddDays(-7) -EndDate (Get-Date)
  3. Verify content markings: Open a labeled document and check for header/footer visibility.
  4. Test DLP enforcement: Send a test email to an external address without disclosure language.

Escalation

Severity Condition Escalation Path
Critical Undisclosed AI content reaching clients at scale Chief Compliance Officer + Marketing compliance
High DLP enforcement failing to block non-compliant content IT security + Compliance team
Medium High override rate on DLP policies Compliance team — training and policy review
Low Minor label formatting issues IT support for Office configuration