AI agents for capital markets and digital assets
Give your desks agents that never route an order or cross the wall
Three agents for morning notes, pre-trade checks and digital asset transfers. None of them can route an order or approve a transfer, and research agents stay on their side of the information barrier. Every call lands in one audit record.
Governing Finance Agents
Any tool, any model, any use case
Our example demonstrates three agents for your research, trading and treasury work, pulled from our template library. Our team can work with yours to build, govern, and operate your agents as you deliver on your IT strategy.
Examples for Capital markets & digital assets
More from the library · Capital markets
Also in the library
Draft morning notes
Reads overnight news and prices for the analyst's coverage and drafts the morning note. Names on the restricted list are off limits.
Tools
Model
Runs
Limits
Tuned for your team
- Your coverage lists by analyst
- Note format and disclosures for each desk
Applying Controls to Agents
Enforce order limits, information barriers and transfer caps in one place
Dome sits between the agents and your systems. Every call is checked against rules your team writes before it reaches Bloomberg, Charles River, Fireblocks or a model.
Name
- Agentmorning-notes is registered and active
- Callerw.prescott verified through Entra ID
- Toolget_news is granted on desk-tools
- RuleNVDA is on w.prescott's coverage list
Comprehensive Audit
Give supervisors every call an agent made, refusals included
One record for every call: the agent, the trader it acted for, the system, and the decision. Enable investigations, increase confidence and reduce risk in agentic operations.
- morning-notes05:48:09
| Timestamp | Type | Agent | Acting as | Resource | Outcome | Latency |
|---|---|---|---|---|---|---|
| 05:48:09.227 | ||||||
Regulation
Supervise agents the way FINRA expects you to supervise people
Desk agents touch orders, research and client assets. These are the rules that reach them.
FINRA Rule 3110 and Regulatory Notice 24-09
What it asks
Firms must supervise their business, and FINRA has said its rules apply to generative AI the same way they apply to any other technology.
What Dome gives you
Every agent is registered, scoped to named tools, and bound by rules your team writes. Every call and decision lands in one record a supervisor can review.
SEC Rule 17a-4 recordkeeping
What it asks
Broker-dealers must preserve business communications and records in a form that can't be altered, and produce them on request.
What Dome gives you
Agent calls, the person each acted for and every refusal are recorded in one audit trail you can export to your archive.
Exchange Act Section 15(g) information barriers
What it asks
Broker-dealers must maintain and enforce policies to prevent misuse of material nonpublic information.
What Dome gives you
Research agents can't reach deal-side systems or anything on the restricted list. A rule refuses the call, and the refusal is recorded.
FAQ
Common questions
How are AI agents used in capital markets?
Drafting morning notes, checking orders against limits and preparing settlement or transfer paperwork are common first agents. On Dome none of them can route an order.
Does FINRA allow AI agents?
FINRA's rules are technology neutral. Regulatory Notice 24-09 says supervision, recordkeeping and communications rules apply to generative AI, so the agent needs the same controls and records as a person doing the work.
How do you keep an AI research agent behind the information barrier?
Scope its access. The research agent's gateway holds only research and market data tools, and a rule refuses anything touching the restricted list.
Can an AI agent move digital assets?
On this setup it drafts transfer requests only, to allowlisted addresses and under an amount cap. Approving and signing stay in your custody platform's own workflow.
Forward deployed engineering
Spend 30 minutes with our FDE team to understand the platform, and how it fits to your needs.
Our FDE team can get your first agent under management and work with your platform team to deliver results for your AI program.
Key topics to discuss:
- Review your AI plans, progress to date, and timeline for agentic projects in production.
- Planning a specific agent, or agentic app, to bring under governance.
- Learning more about our platform capabilities, from gateways to routing.
- Defining agentic operations as repeatable golden pathways for Platform and AppDev teams.
Explore
Other finance solutions
Industry
Finance
KYC reviews, client servicing and SAR narratives. Approvals, money movement and filings stay with your people.
See the agentsFinance
Fintech
App support, onboarding reviews and payment disputes. Fee reversals stay capped, and approvals stay with your people.
See the agentsFinance
Banking & lending
Credit memos, mortgage file checks and adverse action notices. Risk ratings and credit decisions stay with your people.
See the agentsFinance
Payments & spend management
Disputes, card spend and vendor payments. Refunds stay capped, and payments are released by your people.
See the agentsFinance
Wealth & asset management
Client reviews, rebalancing and client communications. Agents see only the advisor's own households.
See the agentsOther industries
AI agents for gaming and sports betting
Player support, responsible gaming review and bonus setup. Self-exclusions and limits stay out of an agent's reach.
Agentic use cases
- Answer player questionsLooks up a player's account, bets and withdrawal status so a specialist can answer fast. It reads. Balances and limits stay with people.
- Review responsible gaming signalsReviews players flagged for risky play and drafts case notes for the responsible gaming team. It never changes a limit.
- Configure bonusesSets up deposit matches and free bets from a campaign brief, up to the cap you set. Self-excluded players are never targeted.
Answers to
- State gaming regulations
- Bank Secrecy Act (FinCEN casino rules)
- Age, identity and location checks
AI agents in healthcare
Prior authorizations, visit notes and eligibility checks. Agents read only the charts their clinician can read.
Agentic use cases
- Assemble prior authorizationsPulls the notes, orders and imaging a payer asks for into one authorization packet. A clinician reviews it and submits.
- Draft visit notesDrafts a visit note from the encounter and the chart, in the department's template. The clinician edits it and signs it.
- Verify eligibility before the visitChecks coverage for the next day's appointments overnight. Anything that needs a call before the visit goes to the patient access channel.
Answers to
- HIPAA minimum necessary
- Business associate agreements
- HIPAA Security Rule audit controls
- CMS prior authorization rule (CMS-0057-F)
AI agents for insurance claims
Claim intake, file summaries and fraud screening. Agents read only the claims assigned to their adjuster.
Agentic use cases
- Triage new claimsReads each first notice of loss, sets severity and line of business, and routes it to the right adjuster queue. It flags. It never settles.
- Summarize claim filesSummarizes medical records, police reports and correspondence in a claim file for the assigned adjuster. Only claims that adjuster handles.
- Screen claims for fraud signalsChecks each open claim against prior claims history and flags patterns for the special investigations unit. It never denies a claim.
Answers to
- NAIC Model Bulletin on AI Systems
- Unfair claims settlement practices laws
- Insurance data security laws
AI agents for law firms
Conflicts checks, clause extraction and redlines. Every agent acts as the lawyer who asked.
Agentic use cases
- Check new matters for conflictsSearches Intapp and past matters in iManage for parties that conflict with a proposed engagement. It reports. It never clears a conflict.
- Extract clauses from contractsPulls parties, dates, renewal and change-of-control terms from the contracts in a matter workspace. Only in matters the requester is staffed on.
- Draft redlines against the playbookMarks up a counterparty draft against your playbook and saves it as a new version. Counsel reviews it and sends it.
Answers to
- ABA Formal Opinion 512
- Privilege after United States v. Heppner
- Ethical walls (Model Rules 1.7, 1.9, 1.10)
AI agents for professional services firms
Proposals, staffing and engagement status. Each agent sees only the engagements its consultant works on.
Agentic use cases
- Draft proposalsReads an RFP and drafts a response from the firm's reuse library. Client names in past work are stripped before the model sees them.
- Match staff to engagementsMatches skills and availability to a new engagement's roles and proposes a team. Resource managers make the assignments.
- Report engagement statusReads the project plan and engagement files and drafts the weekly status report. It sees only engagements its consultant is on.
Answers to
- Client confidentiality terms
- AICPA Confidential Client Information Rule
- SOC 2
- GDPR and state privacy laws
AI agents for retail
Order lookups, replenishment and product copy. Refunds, orders and publishing stay with your people.
Agentic use cases
- Answer order questionsLooks up orders, shipments and returns so an associate can answer a customer fast. It reads. Refunds stay with the associate.
- Plan replenishmentForecasts demand by store and drafts purchase orders against par levels. Buyers review them and send them.
- Write product copyWrites product titles and descriptions from supplier data, in your voice, and saves them as drafts. Merchandisers publish.
Answers to
- PCI DSS v4.0.1
- State privacy laws (CCPA/CPRA)
- SOX internal controls
- FTC Act, Section 5
- Antitrust and algorithmic pricing
- Predictive scheduling laws
- Routing guides and carrier contracts
AI agents for software companies
Escalation triage, incident summaries and release notes. Agents read code and incidents. Shipping stays with engineers.
Agentic use cases
- Triage engineering escalationsReads an escalated ticket and the code it points to, drafts a diagnosis and sets priority. Fixes stay with the engineer.
- Summarize incidentsFollows an incident's timeline and recent deploys, drafts status updates and a first postmortem. It never acknowledges, pages or resolves.
- Draft release notesReads the pull requests merged since the last release and drafts customer-facing notes. The release stays a draft until an engineer publishes it.
Answers to
- SOC 2
- ISO/IEC 42001
- EU AI Act
- State privacy laws (CCPA/CPRA)
Enabling agent operations
Governance at the agent‑action boundary.
However an agent was built and wherever it runs, the same three boundaries are available to control it: the code it ships as, the tools it calls, and the model it reasons through.
Code
Agent Registry
Make every agent known and manageable. Credentials issued, capabilities declared, lifecycle owned.
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Tool
MCP Gateway
Evaluate every call against policy with full context. Allow, deny, or escalate. Filter what comes back.
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Model
Model Broker
Constrain how the agent reasons. Selection by policy, routing across providers, evals against real traffic.
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