Data Governance & Assurance Policy

1. Client Data Ownership & Retention

Transformation and delivery services frequently involve working with project portfolios, operational metrics, financial data, and stakeholder insights. All client data remains the sole property of the client at all times.

AlfaFinTec retains data strictly for the duration necessary to deliver contracted services. Our standard data handling guidelines include:

• Project and transformation data: retained for the duration of the engagement plus 90 days
• Financial or analytical models: retained only with explicit client consent
• Audit and compliance records: maintained for up to 12 months unless otherwise agreed
• Backup retention: not to exceed 90 days unless contractually required
• Right to deletion: fulfilled within 30 days of formal client request

AlfaFinTec does not use client data for secondary purposes, commercial reuse, or model training without clear, written consent.

2. Governance, Oversight & Delivery Assurance

AlfaFinTec applies robust governance frameworks to ensure alignment between strategic objectives and delivery execution. These frameworks are designed to support programme control, audit/compliace, and operational resilience, and are tailored to the context of each engagement.

AlfaFinTec's oversight practices include:

• Clearly defined roles and accountability matrices (POs, PMs, PMO, business owners)
• Integrated risk and issue management with escalation thresholds
• Centralised dashboard reporting with budget, timeline, and scope alignment
• Monthly review cycles with executive-level reporting
• Documented dependencies, RAID logs, and approval checkpoints

For regulated environments, we provide traceable delivery documentation to support internal audits, board reporting, and external compliance requirements.

3. Use of AI & Automation in Transformation

AlfaFinTec leverages automation and AI selectively to support—not drive—transformation outcomes. These tools are used only where they contribute to measurable ROI, reduce delivery friction, or increase clarity in complex environments.

Examples include:

• Automating project health reporting or financial dashboards
• AI-supported documentation or business case generation
• Predictive analysis for portfolio prioritisation
• Language model integration for internal productivity tools

These capabilities are modular and optional. Any AI-related activity is fully auditable, with data handling subject to client consent, classification protocols, and fallback to manual methods where appropriate.

We favour local or client-hosted solutions for privacy-sensitive environments, ensuring no third-party exposure of confidential data unless explicitly approved.

4. Quality Control & Human Governance

AlfaFinTec maintains strict human oversight across all transformation activities. Our governance model includes embedded QA and review cycles throughout the delivery lifecycle, covering:

• Change impact assessment and scope validation
• Stakeholder alignment workshops
• Process walkthroughs and operational model reviews
• Financial alignment checks and scenario modelling
• Executive approvals for all critical decisions

Where automation tools are deployed, human-in-the-loop checkpoints are mandatory. No automated recommendation or generated output proceeds to production without validation by accountable stakeholders.

AlfaFinTec's escalation framework supports rapid resolution at operational, programme, or executive level, with rollback options in place for critical decisions.

5. Data Privacy, Local Deployment & Compliance Standards

AlfaFinTec offers privacy-first deployment options for any AI tools or automation frameworks used. Where possible, we implement systems that operate within the client's environment to ensure full control and compliance with regulatory requirements such as:

• UK GDPR and EU Data Protection Regulations
• FCA, CASS, and PRA requirements for financial institutions
• Client-specific contractual or industry policies

AlfaFinTec's infrastructure and advisory model supports:

• Full documentation of data flows, storage, and access
• No cloud-based processing unless authorised in writing
• End-to-end encryption, secure credential handling, and audit trails
• Data classification aligned to project context and risk profile

All third-party vendors or APIs used in client work are subject to strict selection criteria based on jurisdiction, transparency, security credentials, and explicit opt-in.

6. Assurance Reporting & Engagement Transparency

Clients receive structured reporting throughout and beyond delivery, including:

• Project health dashboards and performance metrics
• Monthly activity summaries and status updates
• Quarterly governance attestations (on request)
• Final audit packs for handover or internal review
• Optional post-delivery validation reports

These artefacts ensure clarity, compliance, and long-term assurance over the value and integrity of the services delivered.

Questions or Concerns?

We're committed to transparency and continuous improvement of our privacy and governance practices. If you have questions about this policy or our data handling procedures, please contact us:

• Email: admin@alfafintec.com
• Phone: +44 7906 566698
• Address: United Kingdom

Last Updated: 17 October 2025

This policy is reviewed quarterly and updated as needed to reflect evolving best practices and regulatory requirements.