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Sovereign AI for Fintech: SEC Rule 17a-4

AUGUST 02, 2025COMPLIANCE5 MIN READ

Public LLMs like ChatGPT violate the core tenet of financial data security: Non-Disclosure. For hedge funds and banks, the "Black Box" nature of OpenAI is a regulatory nightmare.

The WORM Requirement

SEC Rule 17a-4 requires electronic records to be preserved exclusively in a non-rewriteable, non-erasable format (Write Once, Read Many). When an AI Agent makes a trade recommendation, that "thought process" must be logged immutably.

We implement this by piping all local LLM inference logs (Inputs + Outputs + Temperature Settings) directly to immutable object storage (like MinIO with Object Locking enabled).

Air-Gapping for Alpha

Your trading strategy is your Alpha. If you type your strategy into a cloud-based model to "optimize" it, you have technically shared your IP with a third party. Iteronix deploys Air-Gapped Inference Nodes. The ethernet cables for "Internet Out" are physically removed. The only data in is your proprietary market feed; the only data out is the execution order to your internal OMS (Order Management System).