AI agent governance built for regulated finance
SEC, FINRA, PSD2, MiFID II, model risk management: your agents must comply before they trade, advise, or process transactions. Roval gives you the registry, classification, and audit trail your regulators expect.
Model risk management frameworks were not designed for autonomous agents
Model risk management frameworks were not designed for autonomous AI agents that can call external APIs, chain decisions, and access customer data in real time.
Regulators expect a complete inventory of every AI model in production. Most banks can't list half their AI agents, let alone classify them by risk.
SOC 2 audits happen once a year, but LLM models update weekly. By the time your audit is complete, your agent estate has changed beyond recognition.
A single agent handling customer financial data without proper classification could trigger enforcement action under MiFID II or Dodd-Frank.
Regulatory frameworks for financial services
Pre-mapped requirements. Activate a framework and Roval tracks evidence per requirement.
Financial reporting controls for AI systems that touch accounting, reconciliation, or audit data.
Trust service criteria mapped to agent governance, required by every enterprise customer.
Best execution, transaction reporting, and algorithmic trading controls for AI-driven advisory.
Swap reporting, risk management, and systemic risk monitoring for AI agents in capital markets.
Capital adequacy, leverage, and liquidity coverage ratio monitoring for AI risk models.
Data processing, consent management, and right to explanation for AI systems handling EU customer data.
Pre-built policies for financial services
Start from a template, customize the rules, and activate. Every policy enforces controls on your agents.
Enforces audit logging for all agent interactions with transaction systems. Blocks unauthorized access to settlement APIs.
Detects account numbers, SSNs, and financial identifiers in prompts. Blocks sensitive data from reaching external model APIs.
Enforces documentation requirements for AI models: validation, back-testing, and performance monitoring per SR 11-7.
Kill switches, rate limits, and anomaly detection for AI agents executing trades or generating signals.
Ensures AI agents in KYC/AML workflows log every decision, flag suspicious patterns, and maintain full audit trails.
Controls for agents calling external LLM APIs: data residency checks, vendor approval lists, and cost limits.
Built for the audit that's already scheduled
Full audit trail for regulators
Every state change (registration, classification, certification, policy violation) logged with timestamp, user, and context. Export to PDF for your examiner.
Real-time cost attribution
See which agents call which models, how many tokens they consume, and what they cost. Set budget alerts per team, per agent, per model.
Continuous compliance monitoring
Certifications expire. Configurations drift. Owners leave. Roval detects it all within 15 minutes and alerts before your next audit.
The full Roval platform
Agent Registry
Register every agent with framework, model, owner, risk tier, and dependency graph. Search by natural language.
Compliance
Certify agents against any framework with per-requirement evidence tracking. Auto-expiry by risk tier. Drift detection every 15 minutes.
Observer & LLM Monitor
Capture every tool call and LLM request. Flag PII and policy violations in under 30 seconds.
Dashboard
KPI cards, compliance posture, drift alerts, and a live event feed, on one screen, no clicking around.
Start governing your financial AI agents
Join the private beta. Full registry and compliance setup in under 10 minutes.