Regulatory frameworks for AI agents
From ASIC and the EU AI Act to SEC and MAS—one infrastructure layer for multi-jurisdiction compliance and audit-ready evidence.
Why compliance is non-negotiable
Regulators are targeting algorithmic and AI-driven trading. Gaps in controls mean fines, suspension, and reputational risk.
Avoid penalties
Algorithmic and AI violations attract heavy fines. Hardware-enforced controls reduce breach risk at the source.
Stay operational
Non-compliant systems can be shut down. Continuous monitoring and attestation help keep you in the clear.
Scale across borders
One platform for Australia, EU, US, UK, Singapore, and Hong Kong—without rebuilding per jurisdiction.
Jurisdiction-by-jurisdiction
Dive into requirements and how Kuneo maps to each framework.
Australia
RG 265 - Algorithmic Trading
ASIC (Australian Securities and Investments Commission)
ASIC RG 265 focuses on algorithmic trading, requiring firms to ensure their systems are robust, tested, and capable of real-time intervention. Autonomous agents must demonstrate pre-deployment testing, continuous monitoring, and human oversight mechanisms.
Open frameworkSingapore
FEAT Principles & PDPA Compliance
MAS (Monetary Authority of Singapore)
MAS promotes responsible AI through FEAT principles: Fairness, Ethics, Accountability, and Transparency. Financial institutions must ensure AI systems are explainable, fair, and compliant with the Personal Data Protection Act (PDPA).
Open frameworkEuropean Union
EU AI Act (High-Risk AI Systems)
European Commission - EU AI Act
The EU AI Act classifies financial AI systems as "high-risk," requiring strict governance, transparency, human oversight, and comprehensive documentation. Autonomous agents must comply with Articles 12, 13, and 52, plus GDPR for data protection.
Open frameworkUnited States
SEC Reg BI, FINRA 3110, Dodd-Frank
SEC & FINRA
US financial AI systems must comply with SEC Regulation Best Interest (Reg BI), FINRA supervisory requirements (Rule 3110), and Dodd-Frank systematic risk monitoring. The SEC has increased scrutiny on algorithmic trading and robo-advisors.
Open frameworkUnited Kingdom
FCA Algorithmic Trading Requirements
FCA (Financial Conduct Authority)
The FCA requires firms using algorithmic trading to have robust governance, testing, and monitoring frameworks. Systems must be resilient, tested, and capable of immediate shutdown. The FCA emphasizes consumer protection and market integrity.
Open frameworkHong Kong
SFC Algorithmic Trading Guidelines
SFC (Securities and Futures Commission)
The SFC requires licensed corporations using algorithmic trading to implement risk controls, conduct regular testing, and maintain proper governance. Systems must have pre-trade checks, circuit breakers, and comprehensive audit trails.
Open frameworkAt a glance
Focus areas and a representative requirement per region.
| Country | Body | Focus | Example requirement |
|---|---|---|---|
| 🇦🇺Australia | ASIC | Algorithmic trading | Kill-switch & testing |
| 🇸🇬Singapore | MAS | FEAT principles | Explainability |
| 🇪🇺EU | EU Commission | High-risk AI | Human oversight |
| 🇺🇸USA | SEC / FINRA | Best interest | Supervision & records |
| 🇬🇧UK | FCA | Consumer protection | SM&CR accountability |
| 🇭🇰Hong Kong | SFC | Risk management | Pre-trade controls |
One platform, multiple regimes
Deploy with compliance built in. Get started or explore AI governance.