Governance & Program Info
Sentiment Analysis for Trading Signals — Governance
Cross-builder institution context and per-item ownership, due dates, status, and next actions for the governance-relevant checklist items in this builder.
Institution context
Program info
Applies across every builder in the app. Stored locally; nothing leaves the browser.
Checklist governance
Items (0 of 12 marked complete)
Annotate ownership, due date, status, and next action. Items on the left come from the builder's governance / compliance phases.
05 · Governance & Compliance
Map obligations under EU AI Act (Regulation 2024/1689)
Effective August 2, 2025 for general AI provisions; high-risk provisions effective August 2, 2026 — confirm whether trading-signal AI falls under high-risk.
05 · Governance & Compliance
Monitor SEC proposed AI in trading guidance
SEC's July 2023 proposal on AI conflicts of interest in broker-dealer and investment adviser activities reshapes disclosure and governance obligations.
05 · Governance & Compliance
Implement EU AI Act technical documentation (Article 11)
Data lineage, model description, intended purpose, metrics, risk management — the documentation package required for high-risk AI.
05 · Governance & Compliance
Implement post-market monitoring plan
Continuous monitoring of signal performance in production with escalation pathways when metrics breach documented thresholds — required under EU AI Act high-risk obligations.
05 · Governance & Compliance
Map Market Abuse Regulation (MAR) obligations
EU MAR covers signal leakage, front-running of the firm's own signal, and coordinated AI-driven trading — all live risks in systematic sentiment strategies.
05 · Governance & Compliance
Implement FINRA Rule 3110 supervisory framework
Rule 3110 supervision applies to algorithmic and AI-driven trading — designated supervisors, written procedures, periodic review, and evidence-of-supervision artifacts.
05 · Governance & Compliance
Implement internal signal-access controls
Who can read the live signal, who can change the model, who can deploy — all gated, logged, and reviewed.
05 · Governance & Compliance
Review social media / amplification policies
Firms cannot use AI to amplify sentiment on social media to move prices — even indirectly. Written policy plus monitoring required.
05 · Governance & Compliance
Complete SR 11-7 model documentation
Purpose, data lineage, assumptions, limitations, known failure modes, validation results — all seven SR 11-7 documentation elements for a consequential trading model.
05 · Governance & Compliance
Independent model validation
Second-line or external independent team validates model logic, data, assumptions, and performance claims — required for any model driving consequential trading decisions.
05 · Governance & Compliance
Explainability / reason-code infrastructure
Per-signal attribution — which text fragments and which model contributions drove the signal. Required for dispute resolution, regulatory examination, and PM trust.
05 · Governance & Compliance
Change management and model versioning
Who approves model changes, what testing is required, how changes are versioned, what the audit trail looks like — every signal must be traceable to a specific model version.