AI Agent Governance for financial services

Can you show what an agent was allowed to do with client and member data?

Find out whether your team can show which agent actions are permitted, how the policies are enforced and where evidence is missing. Use the Agent Tabletop Exercise to agree on what needs attention and who owns it. Start with the one-page self-check.

Get the tabletop kit

Includes a one-page self-check, a financial-services tabletop exercise, a control scorecard and ownership worksheets. Start on your own and run the team discussion when you’re ready.

Approved access is only part of the picture.

An approved agent can access client and member data to complete a legitimate task. But permission to read a record doesn’t automatically mean permission to save it elsewhere or share it with another team.

Your approved-tool list tells you which agents are approved. Can your team also show which actions were permitted, which controls enforced those policies and what evidence supports the answer?

Use the tabletop to work through those questions before your next agent rollout, new connector or permissions change.

Start with one ordinary task.

An approved agent summarizes member hardship cases. It exports member records to a spreadsheet in its working folder, and that information reaches a team channel open to marketing.

01Was that action permitted?
02If not, which control would prevent it?
03What evidence would show whether the policy was enforced?

Illustrative credit-union scenario. Use it to examine the controls and evidence for your own workflow.

Know what you can demonstrate and what needs attention.

For security, compliance and legal teams at financial institutions reviewing agent actions involving client and member data. Include the workflow owner and model risk or AI governance colleagues where relevant.

One-page self-check

Take a first look at the controls and evidence you can identify before bringing the team together.

Scenario and discussion questions

Use a concrete example to agree on which agent actions should be permitted and which controls apply.

Control scorecard

Identify what your existing controls cover, what evidence supports the assessment and where questions remain.

Ownership and action worksheets

Agree who owns unresolved questions, approves exceptions and takes the next steps.

No installation or live system access is required.

Connect agent policies to enforcement and evidence

TenetGraph helps security and compliance trace an agent’s runtime decisions back to approved policy, testing and approval history. It derives proposed policies from the agent’s purpose, capabilities and context, tests and refines them against the agent, and turns approved policies into runtime controls.

Actions are checked before execution through supported enforcement points, with evidence of which policy applied and whether the action was allowed or denied.

The kit helps you assess your current controls. TenetGraph provides the software to govern agent actions.

Request a demo

Get the Agent Tabletop for financial services

Start with the one-page self-check. Bring the scenario and worksheets to your next team review.