Governance & Research Library

Regulatory and governance reference for institutional investment teams

Practical guidance on SR 11-7, ESMA 2024, EU AI Act, and GDPR — written for CCOs, CROs, and quant practitioners at institutional funds, not for compliance lawyers.

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Cites primary regulatory sources

Available papers

Regulatory guidance · EN

What the SEC, FCA, and EU Regulators Expect from AI-Assisted Investment Analytics

Six compliance properties, SR 11-7 applied to AI, ESMA risk categories, EU AI Act Annex III, GDPR data residency. 30-question CCO checklist.

SR 11-7 · ESMA 2024 · EU AI Act · SEC enforcement · GDPR
Regulatorische Leitlinien · DE

Was die SEC, FCA und EU-Regulatoren von KI-gestützter Investmentanalyse erwarten

Sechs Compliance-Eigenschaften, SR 11-7 auf KI angewendet, ESMA-Risikokategorien, EU AI Act Anhang III, DSGVO-Datenlokalisierung. 30-Fragen-Checkliste.

SR 11-7 · ESMA 2024 · EU AI Act · SEC · DSGVO
Coming Q3 2026 · EN

SR 11-7 Model Risk Framework: Implementation Guide for AI Systems

A practitioner's guide to applying the Federal Reserve's model risk management standard to AI-assisted quantitative workflows.

Federal Reserve SR 11-7 · Basel II/III · SOX
Coming Q3 2026 · EN

ESMA AI Guidance: Implementation Checklist for Investment Firms

Practical implementation checklist derived from ESMA's May 2024 public statement on AI in investment services.

ESMA May 2024 · MiFID II · EU AI Act

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Who reads this
CCO— Compliance mandate coverage — SEC, ESMA, EU AI Act requirements in one place
CRO— Model risk governance — SR 11-7 applied to AI and what validation requires
CIO— Fiduciary and investment decisions — what governance means for alpha generation
Quant PM— Methodology documentation — formal specs, parameter schemas, regulatory basis
External Auditor— Reproducibility trail — what an auditable AI analytics workflow must contain

This material is provided for informational purposes and does not constitute legal advice.

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