{"topic":"books-and-records","title":"books and records","url":"https://theexchange.tech/archive/books-and-records","description":"Dispatches on books and records for AI agents in financial services.","questions":[],"count":1,"startHere":[],"articles":[{"title":"Examiners found remediation that was reported and never happened. An agent writes that report faster.","url":"https://theexchange.tech/articles/examiners-found-remediation-that-was-reported-and-never-happened-an-agent-writes-that-report-faster","json":"https://theexchange.tech/articles/examiners-found-remediation-that-was-reported-and-never-happened-an-agent-writes-that-report-faster.json","excerpt":"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.","publishDate":"2026-09-20","author":"Hugh Mercer","topics":["risk-humility","sec-examinations","supervision","vendor-oversight","books-and-records","governance"]}]}