Definition
In the context of enterprise AI, SOX refers to the application of Sarbanes-Oxley Act compliance standards to RAG pipelines, requiring strict data lineage, internal controls, and auditability of LLM-generated outputs used in financial reporting. It necessitates a 'Human-in-the-loop' or verifiable 'Chain of Custody' for every chunk of data retrieved and every decision made by an AI Agent.
Regulatory governance for data integrity, not the SOCKS networking protocol.
"A forensic black box recorder that logs every document source and prompt transformation for a trial."
- Data Lineage(Prerequisite)
- Audit Trail(Component)
- Deterministic Guardrails(Component)
- RBAC (Role-Based Access Control)(Prerequisite)
Conceptual Overview
In the context of enterprise AI, SOX refers to the application of Sarbanes-Oxley Act compliance standards to RAG pipelines, requiring strict data lineage, internal controls, and auditability of LLM-generated outputs used in financial reporting. It necessitates a 'Human-in-the-loop' or verifiable 'Chain of Custody' for every chunk of data retrieved and every decision made by an AI Agent.
Disambiguation
Regulatory governance for data integrity, not the SOCKS networking protocol.
Visual Analog
A forensic black box recorder that logs every document source and prompt transformation for a trial.