TovenAI
AI agents for FINRA-regulated compliance teams to auto-disposition alerts.
TovenAI is an AI agent layer for compliance teams at institutional brokerages. It reads data from existing chat, voice, surveillance, and archiving systems, assembles context, evaluates signals, and auto-dispositions false positives so analysts can focus on cases that require judgment. It deploys alongside current tools without migration or downtime.
The platform covers Trade Reconstruction, eComms Surveillance, Horizon Scanning, Trade Monitoring & Surveillance, and Publication Review. Agents cite the rule applied to each check, record reasoning for auto-dispositions, and escalate cases with a pre-built investigation package into the audit trail. It runs on the vendor's cloud (containerized on AWS) or fully on-prem, with single-tenant isolation, encryption, SSO/SAML, and audit logs.
It is aimed at compliance teams at institutional brokerages. Deployment is described as live in five days, with a pilot on the firm's own data while existing systems keep running.
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