AI deployed inside the controls your examiners already enforce — SOX-grade evidence, SEC and FINRA recordkeeping, trade surveillance, and SR 11-7 model governance. Every model is inventoried, every output is supervised, and regulated data never leaves your environment.
In a bank, broker-dealer, or asset manager, a model is never just a tool — it is an entity your second line has to inventory, validate, and defend. We build AI systems that arrive pre-wired for that reality: SOX control evidence flows automatically, SEC Rule 17a-4 and FINRA 4511 retention is enforced at write time, and the Federal Reserve's SR 11-7 guidance shapes how every model is documented, owned, and challenged.
That posture matters because the failure modes here are regulatory, not just operational. An unsupervised AI-generated client communication is a books-and-records gap. A trading-adjacent model with no validation file is an SR 11-7 finding. We close those gaps by design — surveillance over AI-assisted output, append-only audit trails, and model governance artifacts your CCO and model risk teams can attest to.
Controls mapped to the regimes that govern trading, advice, and recordkeeping — not bolted on after the fact.
The highest-value AI work in finance sits exactly where supervision and model risk are most demanding:
Every prompt, retrieval, and model output is captured to an append-only store that satisfies SEC Rule 17a-4 and FINRA 4511 retention expectations — WORM-backed, time-sequenced, and exportable for examiners. AI-assisted communications route through the same surveillance and books-and-records pipeline as any other supervised channel.
We treat every deployed model as a governed model under SR 11-7. That means documented intended use, validation evidence, ongoing performance monitoring, version lineage, and a clear owner and challenger. Your model risk team gets the artifacts they need to inventory, validate, and attest to each system.
Bring your toughest control, model-risk, or recordkeeping question. In thirty minutes we map how an AI system clears SOX, SEC, FINRA, and SR 11-7 — and leave you with a concrete governance path. Response inside 24 hours.