Governance for the regulated firm. Speed for the fintech.
Banks, insurers, asset managers, and fintechs have two problems: the regulation they face today and the one arriving next quarter. ShadowIQ is built for both.
Summary
ShadowIQ for Financial Services provides AI governance aligned to SR 11-7 model risk management, NYDFS Part 500, FINRA Notice 24-09, SEC rules, ESMA MiFID II, and the EU AI Act — with pre-built controls for customer communications, market surveillance, and credit decisioning.
Your financial services stack, under one control plane.
You've heard this one before.
- SR 11-7 scope expanding to LLM-based features without a clear validation playbook.
- Customer-facing copilots touching regulated comms with no surveillance hook.
- Research platforms using LLMs without documented MNPI controls.
- Credit-decisioning models under ECOA / Regulation B scrutiny.
Three moves.
- 1SR 11-7 for LLMs.
Challenger models, continuous validation, override logging, and independent review — all pre-built. Model inventory feeds FRB and state-regulator reporting.
- 2Surveillance hooks.
Every customer-facing AI interaction emits a supervision event to your surveillance platform (Relativity, Behavox, NICE) in native format.
- 3MNPI + insider guardrails.
Content classifiers for MNPI, restricted-list names, and material-topic templates. Block, flag, or escalate inline.
Numbers, not adjectives.
ShadowIQ integrates with what you already run.
We speak the compliance languages you do.
- US OCC
- US Federal Reserve (SR 11-7)
- NYDFS
- FINRA
- SEC
- ESMA (EU)
- FCA (UK)
- EBA
- MAS (SG)
“Our Model Risk Committee approved a generative copilot in six weeks — including the OCC readiness pack.”
Asked, answered, sourced.
Each SR 11-7 element (development, implementation, use, validation, governance) maps to ShadowIQ artifacts — registry, evaluations, gateway decisions, challenger tests, and signed audit trails. We ship a pre-built SR 11-7 control library.
Yes. Every customer interaction emits a supervision event (Behavox/Relativity-compatible), with optional pre-send review for regulated comms (Reg BI, Reg Best Interest disclosures, FINRA-supervised recommendations).
Content classifiers for MNPI, restricted lists, and material-topic templates enforce inline. Override workflow logs every approval with a signed receipt — critical for information-barrier audits.
Keep going.
Your 30-minute demo. A signed audit trail by the end of it.
We'll wire ShadowIQ into one live workload, block a prompt injection in real time, and hand you a cryptographic receipt — before the meeting ends.