Fsi Genai Platform

FSI Reference Architecture — Generative AI (生成AI)

Workload Overview

This skill packages the Generative AI (生成AI) reference architecture from the "金融リファレンスアーキテクチャ日本版 (BLEA for FSI)" v1.6 initiative. It is a sample implementation for adopting generative AI inside financial institutions.

The implementation is based on the closed-network (閉域版) edition of the AWS Samples application Generative AI Use Cases (GenU) (https://github.com/aws-samples/generative-ai-use-cases), with additional customizations that address the security requirements financial institutions typically demand (encryption, audit logging, Guardrail hardening).

GenU is an open-source application that delivers a wide range of generative AI use cases — chat, text generation, summarization, translation, RAG, image generation, and video generation. This reference architecture provides:

• An organized set of financial-institution use cases achievable with GenU.
• An explanation of the main features of the GenU closed-network edition and how to use them.
• The security-hardening customizations applied for financial requirements (encryption, audit logs, Guardrail settings).
• The FISC Safety Standards compliance status (see the FISC compliance summary below and references/fisc-mapping.md).

Financial use cases addressed include: internal knowledge search & retrieval via RAG (searching regulations, manuals, past approval documents, and product materials in natural language), document drafting support (approval documents, reports, customer-facing materials, internal email), customer-support assistance (summarizing inquiries, drafting replies, searching similar past cases), data analysis support (trend analysis of sales/market data, report summarization, insight extraction), and internal-communication efficiency (automatic meeting minutes from audio, multi-language translation, material summarization). Image generation, video generation, and diagram generation extend these to presentation material, internal training content, and business-flow visualization.

Prerequisites & positioning. The closed-network configuration is one option that matches an organization's network policy. The standard (non-closed) edition of GenU already offers sufficient security features and may be selected depending on requirements. The design supports staged security hardening: an organization may start with the standard edition and later add Guardrails, migrate to the closed-network configuration, or enforce MFA as risk assessment dictates.

Best Practices and Key Components

Best Practices

• SHOULD: Confine client-to-system communication to a closed network (閉域) when data confidentiality or network-security policy requires it; use the GenU closed-network mode so traffic does not traverse the internet.
• SHOULD: Serve the web static frontend via Application Load Balancer + Amazon ECS Fargate (instead of Amazon CloudFront) when running in the closed-network configuration.
• MUST: Route all AWS Lambda communication to other AWS services (Amazon DynamoDB, Amazon S3, Amazon Bedrock, etc.) through VPC endpoints so it completes inside the VPC in the closed-network configuration.
• SHOULD: Proxy Amazon Cognito authentication through an Amazon API Gateway Private API in the closed-network configuration so authentication requests reach the Cognito User Pool from the isolated environment.
• MUST: Authenticate and authorize users with Amazon Cognito; verify JWT token validity with a Lambda Authorizer so only properly authorized requests reach backend services.
• SHOULD: Consider stricter password policies (minimum length, complexity), MFA enforcement, and appropriate session-timeout settings on Amazon Cognito according to organizational requirements.
• SHOULD: Provide a CloudWatch monitoring dashboard that visualizes Amazon Bedrock token usage (input/output tokens), API call status (request count, error rate, response time), recent prompt history, and user activity patterns.
• MUST: Record all operation logs to CloudWatch Logs with appropriate retention periods and access control for audit and incident investigation.
• MUST: Enable Amazon Bedrock Guardrails to filter model input and output; block sensitive information such as credit card numbers, international bank account numbers, AWS access keys, email addresses, phone numbers, and passwords.
• SHOULD: Customize Guardrails to the organization's policy — e.g., add Japanese-language support and finance-oriented topic filters (insider trading, money laundering, regulatory violation, customer confidential information) and restrict investment-advice or law-violating responses.
• WILL: Guardrails are configured independently of the model, so a common policy can be applied across multiple models.
• MUST: Encrypt data at rest (Amazon S3, Amazon DynamoDB, OpenSearch, Guardrails) with AWS KMS customer-managed keys, and manage KMS key policies and key rotation.
• MUST: Enable point-in-time recovery (PITR) on Amazon DynamoDB tables.
• PREFER: Serverless managed services (AWS Lambda, Amazon API Gateway, Amazon DynamoDB, Amazon Bedrock) to reduce operational burden, gain usage-based auto-scaling, and obtain high availability by default.
• WILL: Amazon Bedrock is designed not to use customer data for model training, so input-data confidentiality is protected.
• MUST: Manage the infrastructure as code with AWS CDK so environments are reproducible across development, verification, and production, and configuration history is version-controlled for auditability.
• MAY: Use the standard (non-closed) edition of GenU instead when full feature coverage is required, since the closed-network edition does not support external IdP SAML federation, Voice Chat, or AgentCore Chat, and requires the deploy region and the model region to be identical.
• MUST NOT: Assume the closed-network edition supports SAML federation with an external IdP, Voice Chat, or AgentCore Chat — these are currently out of scope for that configuration.

Key Components

Frontend Web Application

• Component Overview: Serves the GenU web UI. In the closed-network edition the static files are distributed by a load balancer and container tasks inside an isolated subnet instead of a CDN, keeping traffic within the VPC.
• Assumed AWS Services: Application Load Balancer, Amazon ECS Fargate, Amazon VPC (isolated subnet).

Authentication & Authorization

• Component Overview: Manages user sign-up, sign-in, and request authorization. In the closed environment a dedicated API Gateway proxy relays authentication requests to the Cognito User Pool, and a Lambda Authorizer validates JWT tokens.
• Assumed AWS Services: Amazon Cognito, Amazon API Gateway (Private API), AWS Lambda (Lambda Authorizer).

Backend API & Application Logic

• Component Overview: Hosts the business logic for chat, generation, summarization, and related use cases, invoked from the frontend and interacting with data stores and Amazon Bedrock via VPC endpoints.
• Assumed AWS Services: Amazon API Gateway, AWS Lambda (VPC-attached).

Generative AI Inference & RAG

• Component Overview: Provides foundation-model inference and retrieval-augmented generation for knowledge search, plus speech and knowledge services used by GenU use cases. Access from Lambda is through VPC endpoints.
• Assumed AWS Services: Amazon Bedrock, Amazon Bedrock Knowledge Bases, Amazon Bedrock Agents, Amazon Kendra, Amazon Transcribe.

Output Control (Guardrails)

• Component Overview: Filters model input and output, blocking sensitive information and finance-specific denied topics; the hardened configuration adds Japanese support and finance topic filters.
• Assumed AWS Services: Amazon Bedrock Guardrails.

Data Persistence

• Component Overview: Stores chat history, system contexts, and generated artifacts; encrypted with KMS customer-managed keys and protected with PITR on DynamoDB tables.
• Assumed AWS Services: Amazon DynamoDB, Amazon S3, AWS KMS.

Speech & Media Services (frontend direct access)

• Component Overview: Supports speech-to-text and text-to-speech and media generation features accessible directly from the frontend through VPC endpoints.
• Assumed AWS Services: Amazon Transcribe, Amazon Polly, AWS Lambda (VPC-attached).

Network Connectivity

• Component Overview: Provides in-VPC name resolution and private connectivity to AWS services so the closed-network edition avoids internet egress.
• Assumed AWS Services: Amazon VPC, Route 53 Resolver endpoint, Interface VPC endpoints, Gateway VPC endpoints.

Monitoring & Audit

• Component Overview: Visualizes usage and cost and records operation and model invocation logs for audit; a dashboard surfaces token usage, invocation counts, sign-ins, and prompt logs.
• Assumed AWS Services: Amazon CloudWatch (dashboard, Logs), AWS CloudTrail, VPC Flow Logs.

FISC Compliance Summary

This asset is mapped against the FISC Safety Standards (第13版, 13th edition) practical standards (実務基準). The mapping table records, per standard number, the controls provided by the common governance-base template, the controls provided by this GenAI workload template, and additional considerations for the user. Only measures addressed by BLEA for FSI are listed; overall system safety must also consider the user application implementation and operational/development processes.

Representative GenAI-side controls include: user protection via Amazon Cognito (実1); restriction of client communication to a closed network (実2, 実4, 実34); IAM-based access control plus AWS KMS encryption for S3/DynamoDB (実3, 実13, 実30); CloudWatch Logs and VPC Flow Logs (実10, 実72); CDK-managed configuration with DynamoDB PITR enabled (実39, 実42); Amazon Bedrock Guardrails for content filtering (実69, 実152); and CloudWatch dashboard monitoring plus CloudTrail auditing for AI-usage governance (実151, 実152). Several standards are marked out of scope because they concern financial-transaction services, management/operation processes, development processes, or are already handled on the AWS cloud side.

The complete, unabridged table (every 実N entry) is preserved in references/fisc-mapping.md.

Reference Architecture

The closed-network architecture runs entirely inside an Amazon VPC. A browser in an isolated subnet reaches the frontend (Application Load Balancer + Amazon ECS Fargate); AWS Lambda functions and the frontend reach AWS services (Amazon DynamoDB and Amazon S3 via Gateway VPC endpoints; Amazon Bedrock, Amazon Transcribe, Amazon Polly, Amazon Cognito, Amazon Kendra, and others via Interface VPC endpoints); authentication is proxied through an Amazon API Gateway Private API to Amazon Cognito; and a Route 53 Resolver endpoint provides in-VPC name resolution.

See assets/images/arch.png for the diagram and references/architecture.md for the full technical detail (features, security hardening, architectural characteristics, and closed-network feature limitations).

CDK Sample Overview

No CDK sample is provided for this asset in BLEA for FSI v1.6; this asset is documentation only.

The BLEA for FSI repository does not contain a CDK application for this workload. Instead, the sample is realized by cloning the external AWS Samples GenU repository at a specific commit and applying a customization patch (changes.diff) shipped in the source documentation. The deployment procedure (clone/patch/build/deploy of the external GenU project, Bedrock model-invocation logging setup, and verification) is captured, for reference, in references/deployment.md. The actual CDK code being deployed lives in the external GenU repository, not in this asset.