Governance Infrastructure
Comprehensive documentation and regulatory guidance for deploying autonomous financial agents
AI Agent Governance Platform
The infrastructure layer that transforms experimental AI scripts into compliant, institutional-grade financial vehicles with mathematical certainty.
The Digital Helmet
Hardware-secured execution environments (TEEs) that isolate AI logic and enforce mathematical constraints at the infrastructure level. Your agent physically cannot violate the rules you set.
- TEE-based isolation (Intel SGX / AWS Nitro)
- Cryptographic proof of compliance
- Zero-knowledge verification
- Sub-50ms rule evaluation
Immutable Audit Trails
Append-only logs with cryptographic signatures. Export as PDF/JSON for regulators.
Drift Detection
Real-time monitoring of agent intent vs. actual execution. Catch hallucinations early.
Human Override
Kill-switch for human operators. Instant halt when risk thresholds are breached.
Export & Reporting
One-click compliance reports. PDF for humans, JSON for systems.
Regional Compliance Coverage
ASIC
Australia
- RG 97: Financial product advice disclosure
- ERS: Electronic record-keeping standards
- SMSF: Self-managed super fund compliance
- AML/CTF: Transaction monitoring
EU AI Act
European Union
- Article 12: Transparency & traceability
- Article 13: Human oversight requirements
- Article 52: High-risk AI system standards
- GDPR: Data protection & privacy
SEC / FINRA
United States
- Reg BI: Best interest obligations
- FINRA 3110: Supervisory procedures
- SEC 17a-4: Electronic record retention
- Dodd-Frank: Systematic risk monitoring
How the Digital Helmet Works
Agent Makes Decision
Your AI agent analyzes market conditions and decides to execute a trade (e.g., BUY 10 BTC).
Digital Helmet Intercepts
Before execution, the request passes through the TEE-secured Helmet which evaluates all active rules.
Rule Validation
Leverage limits, exposure caps, price deviation checks, and wash trading detection all run in <50ms.
Execute or Reject
If all checks pass, execution proceeds. If any fail, the trade is rejected and logged with reason.
Immutable Logging
Every decision, rule evaluation, and execution is cryptographically signed and stored append-only.
Pre-configured Guardrails
Deploy production-ready rule templates built for institutional finance
Leverage Caps
Automatically prevent agents from exceeding 5x leverage
Fat-Finger Protection
Reject orders X% away from mid-market price
Wash Trading Prevention
Ensure agents aren't trading with internal wallets
Drawdown Limits
Automatic kill-switch at portfolio loss threshold
Agent Intent vs. Execution
Real-time drift detection catches when agent behavior deviates from intended strategy
Intended Behavior
- Conservative leverage (2-3x)
- Diversified across 5+ assets
- Max 10 trades per hour
- Stop-loss at -5%
Detected Drift
- Attempted 8x leverage → BLOCKED
- 90% concentration in SOL → BLOCKED
- 47 trades in 10 minutes → RATE LIMITED
- Stop-loss honored correctly ✓
Human-in-the-Loop (HITL)
Regulators require human oversight for high-risk AI systems. Kuneo provides multiple intervention layers:
Emergency Kill-Switch
Instant halt of all agent activities. Accessible via dashboard, API, or SMS command.
Approval Workflows
Require human approval for trades above threshold (e.g., >$100k or >5% portfolio).
Audit Alerts
Real-time notifications when agent behavior deviates. Slack, SMS, or email.
Export & Compliance Reporting
One-click audit reports for regulators and stakeholders
📄 PDF Reports (Human-Readable)
- Executive summary with key metrics
- Chronological audit trail
- Rule violation breakdown
- Cryptographic signatures included
🔗 JSON/API (Machine-Readable)
- Structured data for internal systems
- Real-time API access to logs
- Webhook notifications for events
- SIEM/SOC integration ready
Reports comply with ASIC ERS, EU AI Act Article 12, and SEC 17a-4 retention requirements
Dive Deeper
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