SEC Advisers Act Rule 204-2 (Books & Records)
source ↗eCFRRegistered investment advisers must preserve records of recommendations, advisory communications and the data behind them. Where an AI agent evaluates portfolios, drafts client communications or generates recommendations, its inferences and prompts become advisory records that need an attribution chain to a named supervising person — generic system service accounts are not acceptable.
2 components0 articles / obligations2 triggering use casesopen in graph Supervisor Attribution Chain
100% of use casesEvery model inference, data interaction and client-facing artefact is bound to an authorised supervising natural person — never to a shared service account. Required for SEC Rule 204-2 attribution, SOX segregation of duties and AI Act Art. 26 deployer oversight records.
- named in regulationSEC Advisers Act Rule 204-2 (Books & Records) → Supervisor Attribution Chain
WORM / Immutable Audit Vault
100% of use casesAppend-only, hash-chained audit vault (WORM object-lock storage, AES-256 at rest, TLS 1.3 in transit). Guarantees tamper-evidence within the organization's trust domain — which stops your own team, but not an admin who can rebuild the vault. Pair with an external trust anchor and key ceremonies outside the operating team for evidence that holds against the insider scenario.
- named in regulationSEC Advisers Act Rule 204-2 (Books & Records) → WORM / Immutable Audit Vault