UNITED STATES
AI your compliance officer can actually defend.
SEC and FINRA examinations increasingly include AI governance. VELA gives every compliance officer a cited, logged, auditable record of every AI-assisted decision — before the exam, not after.
Regulation
SEC AI Governance
The SEC has signalled that AI use in investment processes will face scrutiny. VELA's immutable audit log means every AI-assisted research or recommendation is traceable, dated, and defensible.
FINRA Supervision
FINRA Rule 3110 requires firms to supervise the use of technology in their business. VELA's audit console is built to satisfy supervisory review — every query, every answer, every source.
State Privacy Law
CCPA, NYDFS, and state-level data residency requirements vary. VELA's private cloud deployment means your documents never leave the infrastructure environment you designate.
WHO THIS IS FOR
- Registered investment advisers
- Broker-dealers and clearing firms
- Alternative asset managers
- Corporate legal and compliance teams
- Family offices with regulatory obligations
The question is not whether your firm uses AI. The question is whether you can show an examiner exactly what it said and why.
US deployment enquiries
VELA is currently in early access for US regulated institutions. Book a call to discuss your compliance infrastructure.