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Financial AI Governance

SOX & Basel III compliant AI governance for financial services — covering algorithmic trading oversight, anti-money laundering AI, and financial audit trails.

Enterprise Tier Financial Services Professional · $199/mo
Start Free Trial — $199/mo See Features ↓

14-day free trial · Professional tier · Cancel anytime

✓ SOX, Basel III, MiFID II, Dodd-Frank aligned
3Core Tools
6Use Cases
∞API Calls/mo
✓ 14-day free trial | Used by 180+ financial institutions | 30-day money-back guarantee
3Compliance Tools
180+Financial Clients
SOXCompliant
Basel IIIAligned
99.99%Uptime SLA

Without AI Compliance Tools

Financial institutions struggle with AI governance compliance without purpose-built tooling:

  • Algorithmic bias goes undetected in trading systems, creating regulatory exposure
  • Anti-money laundering AI produces excessive false positives, draining operational resources
  • Fragmented compliance frameworks create gaps across SOX, Basel III, and MiFID II
  • Audit readiness requires weeks of manual documentation and backtesting
⚠️
✅

With Financial AI Governance

Deploy AI-powered compliance capabilities that ensure financial systems stay within regulatory boundaries:

  • Validate AI systems against SOX, Basel III/IV, MiFID II, and Dodd-Frank requirements
  • Audit algorithmic trading models for fairness bias and market manipulation risk
  • Monitor AML AI systems for false positive rates and regulatory alignment
  • Continuous compliance with real-time audit trails and instant reporting

Powerful Features for Financial Compliance

Comprehensive tools to validate, audit, and monitor AI systems across banking, capital markets, and insurance.

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Compliance Validator

Validate AI systems against SOX, Basel III/IV, MiFID II, and Dodd-Frank requirements with automated policy enforcement and audit trails.

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Algorithmic Trading Auditor

Audit AI/ML trading models for fairness, market manipulation risk, and regulatory compliance with real-time risk scoring.

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AML AI Monitor

Monitor anti-money laundering AI systems for bias, false positive rates, and regulatory alignment with continuous reporting.

75%
Faster Compliance Checks
<5m
Audit Report Time
99.99%
Uptime SLA
180+
Institutions Using

Real-World Use Cases

See how banks, hedge funds, and insurance firms are using Financial AI Governance to ensure compliance.

1

Universal Banks

Validate algorithmic trading AI against market manipulation risk and ensure Basel III capital requirements are met for AI-driven strategies.

2

Insurance Companies

Monitor AI systems for bias in underwriting and claims processing while maintaining SOX compliance for auditable decision trails.

3

Hedge Funds

Audit quantitative trading models for fairness and regulatory alignment while maintaining real-time audit logs for investor reporting.

4

Payment Processors

Monitor fraud detection AI for accuracy and bias while ensuring AML compliance and Dodd-Frank adherence across transactions.

Up and Running in 3 Steps

From integration to production in under 15 minutes.

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Authenticate & Configure

Set up API credentials and configure compliance frameworks (SOX, Basel III, MiFID II) via dashboard or Python SDK.

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Connect AI Systems

Link your trading algorithms, AML systems, and underwriting models for real-time validation and monitoring.

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Monitor & Report

Get real-time compliance scores, audit trails, and automated reports for regulators and internal audit teams.

Technical Specifications

Protocol
MCP v1.0 (Model Context Protocol)
Authentication
API Key / OAuth2 / SSO
Rate Limits
10K+ requests/day (Professional)
Platforms
Linux, macOS, Windows, Docker, Kubernetes
Languages
Python, JavaScript, Go, REST API
Compliance
SOX · Basel III/IV · MiFID II · Dodd-Frank · ISO 27001
Encryption
TLS 1.3 / AES-256 at rest
Uptime SLA
99.99% (Enterprise)

Quick Start Integration

Copy, paste, and run. Get your first compliance check in under a minute.

import mcp_client # Initialize Financial AI Governance client = mcp_client.Client( server_id="financial-ai", api_key="YOUR_API_KEY" ) # Validate trading AI against SOX/Basel III result = client.financial_compliance_validator({ "system_id": "trading-ai-001", "frameworks": ["SOX", "Basel3", "MiFID2"] }) print(result)

Full SDK documentation available for Python, Node.js, and Go

Frequently Asked Questions

Everything you need to know about Financial AI Governance.

What is Financial AI Governance?▸
Financial AI Governance is an enterprise MCP tool designed to validate and monitor AI systems across banking, insurance, and capital markets. It ensures compliance with SOX, Basel III/IV, MiFID II, and Dodd-Frank requirements with automated policy enforcement and real-time audit trails.
Which financial regulations does this support?▸
Full support for SOX (Sarbanes-Oxley), Basel III and IV, MiFID II, Dodd-Frank Act, and common industry standards. Extensible to include additional regulatory frameworks.
How quickly can I integrate Financial AI Governance?▸
Most teams are up and running within 15 minutes using our Python SDK or REST API. Our quick start guide provides copy-paste code examples. Enterprise customers receive white-glove onboarding support.
Can I audit existing trading algorithms?▸
Yes. The Algorithmic Trading Auditor tool can validate existing models for fairness bias, market manipulation risk, and regulatory compliance. It supports real-time and historical backtesting scenarios.
What plan do I need for Financial AI Governance?▸
Financial AI Governance is available on Professional ($199/mo, 10K API calls/day) and Enterprise tiers. It's also included in the full CSGA membership starting at Professional level. View all plans →
Do you offer proof-of-concept deployments?▸
Yes. We offer tailored POC deployments for enterprise clients, including integration with your specific AI systems and compliance frameworks. Contact our sales team to get started.
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Free Training Course

Master financial AI compliance with our comprehensive MOOC — self-paced, hands-on, and completely free.

Financial AI Compliance & SOX Governance

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Get Financial AI Governance

Choose the plan that fits your needs — from individual MCP access to full platform membership.

Free · Community

Community Access

Free/month
100 API calls/day · 1 AI system
  • Basic compliance checks
  • Limited to 1 AI system
  • Community support
  • 14-day trial
Get Started Free
Recommended

Professional Tier

$199/mo
10K API calls/day · Unlimited systems
  • All 3 compliance tools
  • 10K API calls/month
  • Priority support
  • 14-day free trial
Start Free Trial — $199/mo
Full Access

Enterprise Membership

$499/mo
Unlimited API calls · All 67 MCPs
  • Access to all 67 MCPs
  • Unlimited API credits
  • 24/7 dedicated support
  • Unlimited team members
View Enterprise Plan →

All plans include Smithery deployment · Compare all plans →

Ready to Deploy Financial AI Governance?

Professional · $199/mo · 14-day free trial · Cancel anytime

Start Free Trial
SOX Compliant
Basel III Aligned
180+ Institutions

📖 Financial AI Governance — In-Depth Blog Post

Part of the Finance & Compliance Ecosystem

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