Uncontrolled Actions
Agents may attempt activities beyond their authorized scope.
AI AGENT GOVERNANCE FOR FINANCIAL INSTITUTIONS
AI Agent Controller · Powered by CEGS
Govern AI Agent Actions &
Prevent Unintended Consequences.
Financial institutions require more than visibility into autonomous AI operations. They require enforceable controls over what AI agents are authorized to do.
AI Agent Controller, powered by CEGS, is designed to bring institutional governance to the point of action — enforcing policies, preserving human authority, and maintaining auditable evidence.
Working MVP · Now engaging institutions for controlled pilots
AI Agent Proposes Action
AI Agent ControllerPOWERED BY CEGS
Policy evaluationAuthority verificationRisk & approval checks
Allow
Block
Escalate
Governance Evidence
Conceptual governance workflow
BUILT FOR THE RESPONSIBILITIES OF FINANCIAL SERVICESBanks & Credit UnionsInsuranceInvestment & Wealth ManagementFintech
THE GOVERNANCE CHALLENGE
AI Autonomy Introduces a New Control Challenge.
As autonomous AI agents gain the ability to initiate consequential actions, institutions need a coordinated approach to authority, prevention, oversight, and evidence. Policies alone do not ensure controls are enforced at the moment of execution.
Operational and Regulatory Exposure
Uncontrolled actions can create financial, operational, and governance consequences.
Limited Visibility
Institutions need to understand what agents attempt, what they execute, and how controls apply.
Governance Gaps
AI adoption may advance faster than institutional oversight processes.
INTRODUCING AI AGENT CONTROLLER
Governance That Operates at the Point of Action.
A common governance and enforcement layer intended to operate across AI-driven financial workflows. Policy controls, authorization boundaries, human oversight, and decision evidence — brought together under CEGS.
Monitor Agent Activity
Maintain visibility into agent activities, requested actions, and governance-relevant events.
Control Agent Authority
Define permissions, delegated authority, and the operational boundaries of autonomous agents.
Enforce Policies
Evaluate proposed actions against institutional controls before consequential actions execute.
Escalate for Human Approval
Refer sensitive actions to designated personnel, preserving human judgment and authority.
Preserve Audit Evidence
Preserve evidence of policy evaluations, approval decisions, and control outcomes.
HOW IT WORKS
From Institutional Policy to Enforceable Control.
AI Agent Controller is designed to evaluate agent actions against defined governance requirements before those actions are permitted to proceed.
An Agent Requests an Action
An autonomous agent initiates a proposed operation.
CEGS Evaluates the Request
Relevant authority, policy, and risk requirements are assessed.
Governance Is Enforced
The action is allowed, blocked, or escalated for human approval.
Evidence Is Preserved
Governance decisions and relevant actions are recorded for review.
FINANCIAL OPERATIONS
One Governance Layer Across Financial Operations.
Consistent authority and control across the many activities where AI agents may operate. These proposed application scenarios illustrate how execution-level governance can apply across financial workflows.
Payments and Transfers
Govern agent-initiated payment instructions and transfer activities.
ILLUSTRATIVE CONTROL
Authorized transaction limits
Trading and Investments
Apply governance requirements to proposed trading and investment-related actions.
ILLUSTRATIVE CONTROL
Trading authority limits
Lending and Credit
Maintain institutional authority over consequential credit and lending actions.
ILLUSTRATIVE CONTROL
Decision authority
Treasury Operations
Establish authority and approval controls over AI-driven financial operations.
ILLUSTRATIVE CONTROL
Delegated financial authority
Financial Controls and Approvals
Connect institutional control requirements to AI-driven operational processes.
ILLUSTRATIVE CONTROL
Segregation of duties
THE CEGS FOUNDATION
Governance Defined. Governance Enforced.
CEGS — Continuous Execution Governance System — combines a governance methodology with the technology intended to operationalize institutional controls during autonomous AI execution.
Governance Methodology
Defines requirements for delegated authority, policy controls, human oversight, accountability, and risk boundaries.
Technology Platform
Provides the foundation through which governance requirements can be evaluated, enforced, escalated, and documented.
LEADERSHIP & INSTITUTIONAL EXPERIENCE
Financial Risk Expertise Meets Technical Engineering.
Leadership with experience spanning financial risk management, institutional governance, software engineering, and financial technology.
Chief Risk Officer
Lois Tullo
Financial risk and governance leadership, with a focus on institutional authority, oversight, and accountability.
Chief Technology Officer
Jose Herrera
Technical leadership spanning software engineering, technology architecture, and financial technology.
GOVERNANCE & ACCOUNTABILITY
Designed for Institutions Where Accountability Matters.
Connect institutional policies with execution-level decision controls and auditable evidence. A governance approach relevant to risk and compliance considerations across Canada and the United States.
RESPONSIBLE AUTONOMY STARTS WITH CONTROL
Bring governance to the point of action.
Explore what execution-level governance could mean for your institution.