Governance Infrastructure
Comprehensive documentation and regulatory guidance for deploying autonomous financial agents
Regulatory Frameworks
Comprehensive coverage of AI agent regulations in Australia, European Union, and United States
Important Note
Regulatory requirements are subject to change. This information is current as of January 2026. Always consult with legal counsel for specific compliance requirements in your jurisdiction.
Australia
ASIC Electronic Retail Service (ERS)
Australian Securities and Investments Commission
Requirements for automated trading systems and algorithmic decision-making in financial markets.
Key Requirements & Kuneo Features
Algorithm Testing
Comprehensive testing before deployment including stress testing and scenario analysis
Kuneo Solution: TEE-isolated testing environments with automated scenario generation
Risk Controls
Pre-trade and post-trade risk controls including position limits and circuit breakers
Kuneo Solution: Real-time rule evaluation with automatic halt mechanisms
Audit Logs
Detailed logging of all algorithmic decisions and market interactions
Kuneo Solution: Immutable audit trails with millisecond-precision timestamps
Incident Reporting
Immediate reporting of system failures or unexpected behavior
Kuneo Solution: Automated anomaly detection with instant alert escalation
Resources & Templates
European Union
EU AI Act
European Commission
Comprehensive regulation of AI systems with specific requirements for high-risk applications including financial services.
Key Requirements & Kuneo Features
Article 12: Traceability
Automatic logging of AI system operations to enable traceability of results
Kuneo Solution: Append-only audit logs with cryptographic verification
Article 13: Transparency
Clear information about AI system capabilities, limitations, and decision-making logic
Kuneo Solution: Rule visualization and plain-language explanations
Article 14: Human Oversight
Measures to enable human intervention and override of AI decisions
Kuneo Solution: Emergency halt controls and manual override capabilities
Article 17: Quality Management
Quality management system for design, development, and deployment
Kuneo Solution: Integrated testing, validation, and continuous monitoring
Resources & Templates
MiCA (Markets in Crypto-Assets)
European Commission
Regulatory framework for crypto-asset service providers requiring operational resilience and risk management.
Key Requirements & Kuneo Features
Transaction Monitoring
Continuous monitoring of all crypto-asset transactions and holdings
Kuneo Solution: Cross-custodian portfolio aggregation with real-time tracking
Risk Disclosure
Clear disclosure of risks associated with crypto-asset services
Kuneo Solution: Automated risk scoring and client-facing dashboards
Operational Resilience
Business continuity and disaster recovery procedures
Kuneo Solution: Multi-region deployment with automatic failover
Audit Requirements
Regular audits and compliance reporting to authorities
Kuneo Solution: One-click audit report generation with certified exports
Resources & Templates
United States
SEC Algorithmic Trading Guidelines
Securities and Exchange Commission
Guidance on algorithmic trading systems and automated investment advisers.
Key Requirements & Kuneo Features
Best Execution
Obligation to seek best execution for client orders
Kuneo Solution: Multi-venue price monitoring and execution quality tracking
Conflict of Interest Management
Identification and management of conflicts in automated systems
Kuneo Solution: Rule-based conflict detection and disclosure automation
Compliance Monitoring
Ongoing monitoring of algorithmic trading compliance
Kuneo Solution: Real-time compliance checks with violation alerts
Record Keeping
Comprehensive records of algorithmic trading activities
Kuneo Solution: Immutable audit logs with SEC-compliant retention
Resources & Templates
CFTC Automated Trading Rules
Commodity Futures Trading Commission
Requirements for automated trading systems in derivatives markets.
Key Requirements & Kuneo Features
Pre-Trade Risk Controls
Automated controls to prevent erroneous orders
Kuneo Solution: Real-time order validation against defined parameters
System Safeguards
Measures to ensure system reliability and security
Kuneo Solution: Hardware-secured execution with redundancy
Testing Requirements
Regular testing of automated trading systems
Kuneo Solution: Automated regression testing and scenario simulation
Audit Trail
Complete audit trail of all trading activity
Kuneo Solution: Millisecond-precision logging with CFTC format export
Resources & Templates
Need Compliance Assistance?
Our team can help you navigate regulatory requirements and implement compliant AI agent systems