Every AI call. Every compliance obligation. One enforcement point.
Trading desks, risk teams, and client advisors are using AI tools where MNPI, NPI, and transaction data flow through every prompt. Arbitex governs every call — detecting restricted information, enforcing policy in-path, and producing audit records that satisfy OCC, SEC, and FINRA requirements.
Ungoverned AI is a regulatory event waiting to happen.
Financial institutions face a specific version of the AI governance problem: the information that flows through AI prompts is the same information that regulators require to be controlled, logged, and auditable. A trading analyst asking an LLM to summarize a Q3 outlook may be including MNPI. A client advisor drafting a wealth management summary may be exposing NPI. A compliance officer running transaction analysis may be creating an undocumented BSA/AML record.
Most AI gateways are built for engineering teams — not regulated financial environments. They route tokens and log latency. They do not detect MNPI. They do not produce audit records that satisfy SEC Reg FD. They do not offer GLBA, SOX, BSA/AML, and SEC compliance bundles that activate simultaneously under one policy. The SEC AI Task Force, active since August 2025, is specifically focused on undisclosed AI use in investment advisory contexts.
Arbitex was designed for environments where compliance is not a feature — it is the requirement. MNPI detection, examiner-ready audit logs, and four simultaneous compliance bundles are not add-ons. They are the product.
Governance built for regulated financial workflows.
MNPI Detection — Native
Material Non-Public Information detection is built into the Arbitex DLP pipeline — not bolted on. Trading desk analysts, research teams, and M&A advisory staff frequently work with AI tools that could inadvertently expose material information. Arbitex detects deal names, company names in restricted periods, earnings language, and financial terms in context, then enforces policy before the information reaches any model. No competitor offers MNPI detection natively.
Four Compliance Bundles in One Policy
GLBA, SOX, BSA/AML, and SEC Reg FD compliance bundles are active simultaneously. Activate GLBA for consumer NPI protection under the Safeguards Rule. SOX configuration enforces access controls and change logging for AI supporting financial reporting. BSA/AML governs transaction monitoring AI with chain-of-custody logging for SAR support. SEC Reg FD satisfies broker-dealer record retention requirements with write-once, read-many audit log architecture.
Examiner-Ready Audit Logs
Every AI request and response is captured in an tamper-proof audit log. Records are immutable by construction — tamper-evident and verifiable. Signed exports are formatted for OCC and SEC examiner requests. Configurable retention supports one year or longer for SEC Reg FD broker-dealer obligations. The audit log answers the examiner question before it is asked.
Compromised Credential Detection
Arbitex checks content against a compromised credential dataset in real time, flagging exposed secrets before they reach AI models. Financial services environments face elevated credential exposure risk — especially when analysts paste connection strings, API keys, or service account tokens into AI prompts. The DLP pipeline detects known-compromised credentials in content and enforces policy before the information reaches any model.
Sub-Millisecond Policy Overhead
Policy enforcement adds less than 1ms of latency to AI calls. For trading and research workflows where response time affects analyst productivity, the governance layer is invisible. Arbitex does not require you to choose between compliance and performance.
Hybrid Outpost for Data Sovereignty
Financial institutions with strict data localization requirements — whether driven by OCC guidance, state law, or internal risk policy — can deploy the Arbitex data plane in their own VPC. No customer data, trade data, or client information transits Arbitex-controlled infrastructure. The control plane manages configuration; the data plane stays in your environment.
How it works
Analyst submits a query
A trading desk analyst, risk modeler, or client advisor submits an AI query — market research, scenario analysis, client communication drafting. The request enters the Arbitex gateway. MNPI detection runs immediately, along with financial PII patterns (account numbers, SSNs, tax IDs), NPI under GLBA, and Tier 2 ML-based entity recognition for contextual financial data in free text.
Policy enforces compliance requirements in-path
Based on your active compliance bundles, the gateway blocks, redacts, or routes the request per policy. MNPI language is blocked before reaching any model. NPI is redacted under GLBA policy. The enforcement action is logged immediately with user context, policy version, detection result, and model endpoint. No restricted information reaches a model unless policy explicitly permits it.
Examiner-ready record is created
Every event is written to the tamper-proof audit log: request received, detection result, enforcement action taken, model response, response inspection result. Records are immutable. Signed exports are available for OCC examiner requests, SEC Reg FD obligations, internal compliance review, and SOX audit submissions. The log is the evidence — not a summary of it.
Six frameworks. One policy layer.
Each compliance obligation maps to a specific Arbitex capability. All bundles are active simultaneously — no separate configuration per framework.
NPI protection across all AI interactions with consumer financial information. Access controls enforced by role. Every NPI access logged.
Access controls for AI supporting financial reporting. Configuration changes version-logged with before/after deltas. Tamper-evident audit record for SOX IT audit submissions.
AI governance for transaction monitoring workflows. Complete chain-of-custody logging supports SAR documentation and FinCEN inquiry responses.
Write-once, read-many audit log architecture. Configurable retention of one year or longer. Signed exports formatted for SEC examination.
Documentation and logging infrastructure for AI model usage — supporting model risk management validation requirements for OCC-supervised institutions.
Enforcement activity around undisclosed AI use in investment advisory contexts. Arbitex provides the audit record that demonstrates governance — not assumption.
Related Resources
Audit-ready AI governance for financial services.
Talk to an Arbitex engineer about MNPI detection configuration, compliance bundle setup, and examiner-ready audit log architecture for your environment.