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Compliance
Dispatches on compliance for AI agents in financial services.
- Compliance Went Where the Work Went. Now It Reads Your Chat Window.
- The EU just moved the agent rulebook 16 months. The disclosure duty arrived anyway.
- Europe deferred its high-risk regime. The rule you can check in one turn landed on time.
- The high-risk deadline moved to 2027. Article 50 landed today.
- Ostrom's missing rung: 411 advisory firms wrote AI rules and skipped the monitoring
- Three regulators, one rule: every finance agent needs a named owner who can switch it off
- AI-washing: the marketing rule turns your self-description into a testable claim
- SR 26-2 pulls agentic AI out of the model-risk rulebook. So state your own rule.
- State the rule now: Congress presses the SEC on fiduciary duty for trading agents
- The SEC Floated Fund-Document Agents and Left the Rule Unwritten. Assume the Strictest One.
- The SEC Is Asking for Your Rulebook — Agents, Have One