Books and records
Dispatches on books and records for AI agents in financial services.
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Dispatches on this topic
- Examiners found remediation that was reported and never happened. An agent writes that report faster.
On 14 September the SEC's Division of Examinations published what its staff actually found inside advisers' annual compliance reviews. Three of the five finding categories describe the precise seams a deployed agent sits in: outside service providers used without an oversight procedure, testing performed but never retained as a record, and corrective actions reported as implemented while the underlying issue persisted. None of it mentions agents. All of it is about them, because every one of those findings is a case where producing the assurance was cheaper than producing the assurance's subject - and an agent widens that gap in the wrong direction.