FINRA's own 2026 report found firms deploying generative AI faster than they can govern it. Cortega gives you the supervision, model-access controls, and audit trail examiners are already asking about, enforced before the call completes rather than reconstructed after.
FINRA's 2026 Regulatory Oversight Report flags firms using generative AI without the controls, supervision, and recordkeeping discipline expected in regulated markets.
GLBA, SEC, and FINRA don't have AI-specific rules yet, but regulators are clear that existing security, supervision, and recordkeeping obligations already cover AI tools.
Regulators are folding AI governance into examination priorities. Firms need to show disciplined implementation, not just experimentation.
Customer account numbers, balances, and payment details can end up inside a prompt to a model with no controls around where that data goes.
Local, rule-based detection for payment card numbers, bank account numbers, and IBANs, plus general PII. Requests are blocked or masked before they leave your network.
Runs inside your infrastructure. Nothing about your trading, account, or customer data routes through a Cortega-hosted cloud.
Set per-team, per-agent allow/deny lists for which models and providers can be used. This is the supervision layer regulators are asking about.
Every policy decision, whether it's allowed, blocked, redacted, or approved, is recorded continuously and hash-chain verified so it's ready for an examiner.
High-risk actions get a documented approval decision, with identity and rationale attached. That's supervision you can show, not just claim.
Real-time budget caps by team or project, so AI spend doesn't become its own ungoverned line item.
Tell us what's in scope, whether that's trading tools, customer-facing chat, internal copilots, or model access across teams, and we'll show you exactly where Cortega fits.