Fintech / trading · Module 4
What NI 31-103, SEC, and FINRA rules mean for AI evaluation
For institutional evaluators translating regulatory and supervision obligations into tool questions.
Rules and supervisory obligations shape the AI evaluation surface before a pilot begins.
The practical question is whether teams can describe data access, review ownership, evidence retention, decision support boundaries, and escalation paths in language compliance, technology, and desk leadership can all use.
This scaffold is educational only and does not predict rule-making timelines or provide legal advice.
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Scaffold source: docs/runbooks/phase-3-fintech-industrial.md#e030