Use Cases

Validate financial advice against regulatory sources

If you're deploying AI in regulated industries like finance, verify grounds every output against SEC, FINRA, internal compliance policies before customers see it—ensuring regulatory compliance, avoiding violations, and protecting from liability.

Problem

Fintech AI gives advice that must align with SEC regulations, FINRA guidelines, and internal compliance policies. One incorrect recommendation triggers regulatory violations, customer lawsuits, and massive fines.

Traditional compliance review happens after-the-fact, auditing historical AI outputs instead of preventing violations in real time. Organizations need continuous validation that catches regulatory misalignment before advice reaches customers.

How Superagent solves it

Superagent verify grounds every financial AI output against SEC regulations, FINRA guidelines, and internal compliance databases before delivery. Verify ensures advice is regulatory-compliant, documenting validation continuously. Available via API, SDKs, CLI, and web playground.

  • Validates financial advice against SEC, FINRA, and internal compliance policies in real time.
  • Detects regulatory violations before advice reaches customers, preventing fines and lawsuits.
  • Generates audit trails showing compliance checks performed on every piece of advice.
  • Documents all verifications via AI Trust Center, proving auditable advice with mappings to EU AI Act, ISO/IEC 42001, and NIST AI RMF.

Benefits

Regulatory compliance prevents violations before advice reaches customers, avoiding fines.

Avoid violations by validating outputs against SEC, FINRA, and compliance databases in real time.

Protect from liability with documented compliance checks and audit trails for every output.

Auditable advice builds trust with customers and regulators through transparent validation.

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Ready to validate financial advice against regulations?

Deploy verify to ground every output against SEC, FINRA, and compliance policies before delivery.