Curated Knowledge Base

Policy & Governance Resources

A curated library of frameworks, regulatory documents, case studies, and academic work the author endorses as worthwhile reading for readers of the paper.

Type All Regulatory Framework Templates Technical Standard Case Study Academic
Topic All Employment EU Regulation Financial Services Governance, Risk & Compliance Healthcare Legal & Liability Public Sector US Regulation
Case Study

In re Knight Capital — SEC Enforcement Order (2013)

The $440M automated-trading failure — a deployment and rollback gone wrong. The SEC order is the primary account of how an untested change cascaded in minutes.

Topic · Financial Services

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Templates

FS-ISAC — Acceptable Use Policy Framework for External GenAI

A financial-services-flavored template for an external generative-AI acceptable-use policy — a useful starting point for the Financial Services overlay.

Topic · Financial Services

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Regulatory

FINRA Regulatory Notice 24-09 — Generative AI

FINRA’s technology-neutral position: existing supervision, communications, and books-and-records rules apply directly to AI use in financial services.

Topic · Financial Services

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