USE CASE 01
Research at speed
An analyst hands AI a stack of filings and call transcripts and gets first-pass summaries in minutes. Policy keeps the tool away from what it shouldn't touch, and every step lands in the record.
Financial services
Let the desks use AI. Keep it under the same supervision as the rest.
Verillian rules on what any AI tool may do with client and market data right at the desk. Then it seals every captured action into evidence you can produce: complete, in order, and verifiably intact.
One more channel
The last time this happened, it was called off-channel.
The industry spent the last few years paying nine-figure fines because business moved to personal phones faster than supervision could follow. The same shape is forming around AI: filings summarized by a chatbot, commentary drafted by a model, client notes polished by tools that weren't around when most written supervisory procedures were last reviewed. AI is off-channel all over again, except this channel doesn't just carry the message, it acts on it. The answer that worked last time works here too: bring the channel under supervision before the exam finds it for you.
On the desk
AI work, brought under supervision.
Approved tools and unapproved ones alike, with your rules deciding each action and the evidence writing itself.
USE CASE 02
Client communications
Advisors draft reviews and letters with AI, account details screened before a prompt leaves, and every draft traceable to exactly what the model was shown.
USE CASE 03
Operations and recs
The middle and back office put AI on breaks, reconciliations, and exception queues, where a governed tool can read what it needs and can't move a book.
The evidence
Evidence in the shape of books and records.
When an examiner asks what AI did on the desk, you produce the record. Everything below exists so you can.
A record built to be produced
Every captured AI action is sealed in order and hash-chained, so a removed or edited entry breaks the chain visibly. An examiner does not have to trust the log. They can test it.
Refused before it runs, not flagged after
An export of the client book is stopped at the desk the moment a governed tool attempts it, so surveillance isn't reading about it in tomorrow's report.
Account details screened on the way out
The card and account numbers your policy flags are replaced at the desk before a prompt leaves, so research help never requires showing anyone's book to anyone.
Information barriers, written down
The research desk, the advisory side, and operations each carry their own declared policy, so the barriers you maintain on paper hold at the machine too.
Your infrastructure, your keys
The layer runs on hardware the firm owns and the record seals under a key only the firm holds. Nothing of yours reaches us, and we couldn't read the record if we tried.
Verified without being opened
When the exam asks for AI records, you can hand over proof the trail is complete and untouched while the content stays sealed. The examiner can run the check themselves.
Aligned, not certified
Where this sits with the SEC and FINRA.
Verillian doesn't make your firm compliant, and no vendor can. Supervision, books and records, and safeguarding customer information stay your obligations. What the layer adds is the mechanism: declared rules over every AI action and sealed evidence of each one, the material your compliance team builds the answer from.
SEC
books and records
books and records
FINRA
supervision
supervision
GLBA
customer information
customer information
Your firm holds its regulatory obligations. Verillian supplies the controls and the evidence that line up with them.