Solutions / Finance

Let trading algorithms run, and prove every order stayed inside its limits.

Governance for algorithmic trading and AI agents in financial markets: pre-trade limits enforced, strategy drift caught, and a kill switch that cannot be overridden, with the record regulators expect.

SEC Rule 15c3-5the US pre-trade risk-control rule for broker-dealers, known as the market-access ruleMiFID II Article 17the EU requirement for effective systems and risk controls in algorithmic tradingDORAthe EU's digital operational resilience regulation for financial firmsFINRA 3110 / 3120the US supervision rules for algorithmic trading systemsCFTC Regulation ATUS controls for automated trading in the derivatives marketsEU AI Actthe EU's risk-based law regulating AI systems
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How Agentomy helps finance

01

Limits enforced before the order, not after

Every order is checked against the position concentration, cross-venue exposure, and rate limits registered on the server before it reaches the venue, never against a limit the agent supplied. An order that breaches a ceiling is refused and recorded, so a bug or a bad prompt cannot move size you never authorized.

02

Catch strategy drift, not just fills

Per-algorithm behavioral baselines flag when a strategy departs from its declared mandate and quarantine it, so drift is caught while it is still small.

03

A kill switch that cannot be overridden

One command halts every governed algorithm and quarantines it, and it holds through a restart. Resume takes an explicit operator approval, not a dismissed pop-up.

In practice

Plausible scenarios

Concrete ways an agent goes wrong here without governance, and the control that catches each one.

01

A runaway loop floods the venue

An algorithm starts submitting orders far past its rate limit, the shape of the failure that once cost a firm hundreds of millions of dollars in minutes. The registered order-velocity ceiling trips, further orders are refused, and the algorithm is quarantined before the losses compound.

02

A position concentrates past its limit

An algorithm accumulates a position beyond its approved limit across several venues. Cross-venue aggregation sees the whole exposure, blocks the breach at the limit, and logs it, instead of each venue seeing only its own slice.

03

A strategy drifts from its mandate

A trading agent gradually departs from the strategy it was authorized to run, moving into different instruments and different sizing. Behavioral baselines flag the drift and halt it past a set threshold, before it becomes an unapproved book.

04

A fat-finger order hits the market

An order arrives many times larger than any reasonable size. The pre-trade check adds it to the current position and measures the result against the registered position ceiling, so it is refused before it reaches the venue and a keystroke error is not an execution.

05

Halt the desk in an incident

A suspected malfunction means trading must stop now. One command halts every governed algorithm and quarantines it, confirmed, and the halt cannot be overridden until an operator approves the resume.

Frameworks

Mapped to the frameworks you answer to.

Expand any framework to see what it means and what Agentomy provides.

Go deeper

Related use cases

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See it in the record

Every action, logged and provable.

A tamper-evident, hash-linked trail of every governance decision, exportable to the framework your auditors care about. No error codes; plain-English reasons for every allow and deny.

Agentomy Command CenterFilter Finance
  • 100% Integrity
  • 40,325 Blocks
  • SHA-256 hash-linked
Audit trail: one tamper-evident block per governance decision, hash-linked to the one before it
BlockTimestampAgentActionTierHash
40,325Today 12:42:08market-research-agentdata_access_requestEvaluator2c03db20bca67024
40,324Today 12:41:54client-support-agentoutput_validationAnalysta9de1760a3f93a54
40,323Today 12:41:37counterparty-review-agentpolicy_checkBuilderf1bbe7985acb88e5
40,322Today 12:40:58reconciliation-agentbehavior_driftOperator63c9a383baf13e2b
40,321Today 12:40:21disclosure-draft-agenthalt_initiatedStrategiste0b9b5a84452004e
40,320Today 12:39:46exposure-report-agentprompt_reviewEvaluatord814391d4692f645
Governance events today: 12,842Demo environment
Illustrative interface with sample data, in the shipped Command Center’s structure. Not a customer environment and not a live feed.

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