Regulatory Examination Readiness

From Months of Preparation to 24 Hours

A single regulatory examination preparation cycle costs financial institutions $500K-$2M in consulting time. Compliance teams spend months assembling evidence from spreadsheets, email chains, and disconnected log systems. When the examiner arrives, the package is already outdated.

SmartFlow's Regulatory Examination Suite generates complete, current evidence packages from the audit data that SmartFlow already collects during normal operation. One API call. 24 hours. Examination-ready.

Supported Frameworks

SR 11-7 Model Inventory

Automated AI model inventory with risk classification, validation status, outcomes monitoring, and model lifecycle tracking. Every model that SmartFlow routes traffic to is automatically cataloged.

FINRA Rule 3110 Supervision Package

Supervisory controls documentation, AI-assisted communication review evidence, information barrier enforcement reports with 90-day violation retention, and attestation reports.

FFIEC IT Controls Assessment

IT risk assessment, access control documentation, audit trail integrity verification, and incident response evidence.

EU AI Act High-Risk System Documentation

Technical documentation, record-keeping evidence, human oversight mechanisms, and transparency documentation as required by Articles 12-15.

How It Works

• Step 1: Deploy SmartFlow as your AI governance control plane.
• Step 2: SmartFlow collects governance telemetry during normal operation. No additional work required.
• Step 3: When examination approaches, generate the evidence package via single API call or Maestro dashboard.
• Step 4: Review with your compliance team. Submit to the examiner.