Governance Infrastructure
Comprehensive documentation and regulatory guidance for deploying autonomous financial agents
United Kingdom Regulatory Compliance
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.
Framework
FCA Algorithmic Trading Requirements
Requirements
6 Key Areas
Kuneo Solutions
4 Compliance Tools
What FCA (Financial Conduct Authority) expects from financial AI systems operating in United Kingdom.
Algorithm Governance
Clear governance structures with senior management accountability for algorithmic trading systems under SM&CR.
Pre-Deployment Testing
Comprehensive testing in controlled environments before live deployment, including stress scenarios.
Real-Time Monitoring
Continuous surveillance of algorithmic behavior with automated alerts for anomalous activity.
Kill-Switch Capability
Ability to immediately halt algorithmic trading in case of malfunction or market disruption.
Consumer Protection
AI systems must treat customers fairly and not exploit behavioral biases or vulnerabilities.
Market Abuse Prevention
Controls to prevent market manipulation, spoofing, layering, and other abusive practices.
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