1.3 KiB
1.3 KiB
Regulated Industry Considerations
The finance automation vision is conceptual and aspirational; it is not a claim of compliance. The design aims to align with GAAP/IFRS expectations and regulatory frameworks such as FINRA and SEC while preserving flexibility for jurisdictional variation.
Accounting Alignment
- GAAP/IFRS hooks: Journal entry structures can map to ledger postings and disclosures, supporting external reporting pipelines.
- Controls: Segregation of duties and PS-SHA∞ journaling provide traceability for approvals and policy overrides.
Regulatory Overlays
- FINRA/SEC: Suitability, best execution, market surveillance, and recordkeeping requirements inform orchestration rules and logging depth.
- AML/KYC: Agents should integrate identity verification and suspicious activity patterns, with contradictions escalated when risk flags collide with revenue objectives.
Posture Statement
- Conceptual only: These documents describe intended capabilities, not audited compliance states.
- Evidence-ready: The combination of journaled actions and explicit contradiction handling is designed to support future attestations.
TODOs
- Map specific regulatory controls to agent responsibilities and PS-SHA∞ fields.
- Draft sample audit trails demonstrating how finance workflows surface and resolve conflicts.