Governance Infrastructure
Comprehensive documentation and regulatory guidance for deploying autonomous financial agents
AI Agent Regulatory Frameworks
Navigate the complex landscape of financial AI regulation. Kuneo ensures your autonomous agents comply with global standards—from ASIC in Australia to the EU AI Act and SEC regulations in the United States.
Why Regulatory Compliance Matters
Financial AI systems are under intense regulatory scrutiny worldwide. Non-compliance can result in severe penalties, operational shutdowns, and reputational damage.
Avoid Penalties
Regulatory fines for algorithmic trading violations can reach millions. Kuneo's infrastructure prevents violations at the hardware level.
Maintain Operations
Regulators can suspend trading licenses for non-compliant systems. Stay operational with automated compliance monitoring.
Global Expansion
Enter new markets confidently. Kuneo supports compliance frameworks across Australia, EU, US, UK, Singapore, and Hong Kong.
Country-Specific Compliance Frameworks
Select a region to explore detailed regulatory requirements and Kuneo's solutions
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.
Singapore
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).
European 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.
United 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.
United 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.
Hong 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.
Quick Comparison
Key regulatory focus areas by region
| Country | Body | Primary Focus | Key Requirement |
|---|---|---|---|
🇦🇺Australia | ASIC | Algorithmic Trading | Kill-switch & Testing |
🇸🇬Singapore | MAS | FEAT Principles | Explainability |
🇪🇺EU | EU Commission | High-Risk AI Systems | Human Oversight |
🇺🇸USA | SEC / FINRA | Best Interest | Supervision & Records |
🇬🇧UK | FCA | Consumer Protection | SM&CR Accountability |
🇭🇰Hong Kong | SFC | Risk Management | Pre-Trade Controls |
Deploy Compliant AI Agents Globally
One infrastructure platform. Multiple regulatory frameworks. Zero compliance headaches.