AI Governance Built for Financial Services
SmartFlow is the AI governance control plane for banks, broker-dealers, asset managers, and financial exchanges. Cryptographic agent identity. Information barrier enforcement. One-click regulatory examination packages for SR 11-7, FINRA 3110, FFIEC, and the EU AI Act.
Three Problems SmartFlow Solves for Financial Services
1. Agent Identity and Delegated Authority
AI agents are initiating wire transfers, executing trades, and accessing customer accounts at financial institutions. AIDA provides the cryptographic identity layer that regulators require: who authorized the agent, what it was permitted to do, and a complete audit trail of every action it took. This maps directly to KYC requirements for non-human actors and OCC guidance on AI model governance.
2. Information Barrier Enforcement (Chinese Walls)
Every AI assistant deployed across business lines is a potential conduit for material non-public information. Research analysts and trading desks sharing the same LLM endpoint creates regulatory exposure. SmartFlow enforces information barriers at the AI gateway using LDAP/AD group identity combined with real-time content classification. MNPI controls with 90-day violation retention. FINRA Rule 3110 attestation reports generated automatically.
3. Regulatory Examination Readiness
A single examination preparation cycle costs financial institutions $500K-$2M in consulting time. SmartFlow's Regulatory Examination Suite generates complete evidence packages with a single API call: SR 11-7 model inventory, FINRA 3110 supervision package, FFIEC IT controls assessment, or EU AI Act high-risk system documentation. 24 hours from request to examination-ready package.
Regulatory Framework Mapping
- SR 11-7: Model inventory, risk classification, validation status, outcomes monitoring
- FINRA 3110: Supervisory controls, communication review, barrier enforcement, attestation
- FFIEC: IT risk assessment, access controls, audit trail integrity
- EU AI Act: High-risk system registration, transparency documentation, human oversight
- SOX: Financial reporting AI controls, access authorization, data integrity
Ready to govern your AI infrastructure?
See how SmartFlow gives regulated industries complete AI sovereignty.
Request a Demo View Documentation