Regulators covered
Which frameworks the financial services pack maps to today.
Adapter coverage
Upstream services Vortalis adapts for this vertical.
- FIX protocol adapterShipping
vortalis_proxy/services/fix_protocol.py. Adapter as code; the operator holds the FIX session credentials and the venue certification.
- Bloomberg adapterShipping
vortalis_proxy/services/bloomberg.py. Market-data and order-routing surfaces; adapter as code.
- SWIFT ISO 20022 adapterShipping
vortalis_proxy/services/swift_iso20022.py. Payments and settlement messaging; adapter as code.
Action vocabulary
The policy template for this vertical.
Actions allowed
8
Each action gated by policy at the hot path.
Anticipated require_human actions
- order.submitted
- position.modified
Rate-limit posture
500 order.submitted per 1-hour rolling window; 500 order.executed per 1-hour rolling window; 200 position.modified per 1-hour rolling window. Defensible for a single-desk engagement; multi-desk tenants raise after agreement with the head of trading.
Template path: policies/sectors/financial-services/trade-execution-template.yaml
Integration brief
The implementation guide your engineers read first.
Available
docs/governance/integration-briefs/financial-services-trade-execution.md
Honest limits
What this sector pack does not do.
Vortalis does not execute trades, settle transactions, or move funds; it governs AI-agent decisions about those actions.
The policy template gates the actions an AI agent may take. The actual venue submission happens via the operator's FIX session or broker connectivity; the actual settlement happens via the operator's SWIFT or ISO 20022 pipeline. The audit chain records the agent's decision and the upstream outcome; it does not move money.
Counterparty certification with FIX networks, exchange APIs, broker-dealer FCMs, and SWIFT is the operator's responsibility.
Vortalis ships financial adapters as code, not as counterparty-certified production integrations. Production certification with each venue, the firm's clearing broker, and SWIFT network access sits with the operator. The adapters provide a starting shape; conformance against the counterparty's certification programme is the operator's track.
Best-execution evidence is an audit-trail query; the determination of which venues qualify as best execution in a given jurisdiction is the operator's responsibility to encode in policy.
MiFID II Article 27 and FINRA Rule 5310 require the firm to take all sufficient steps to obtain the best possible result for the client. The Vortalis audit chain records every order action with the venue, instrument, side, quantity, and price; an examiner can reconstruct the order trail. The list of venues that qualify as best execution, the weighting of price against speed and likelihood of execution, and the firm's periodic review schedule live in the firm's written best-execution policy.
Pre-trade market-abuse screening (MAR) is operator-side; Vortalis records the screening outcome.
The firm's MAR pre-trade screening engine (insider-list, surveillance flags) runs at the calling system. When a candidate order hits an MAR flag, the calling system submits agent.action_blocked with ruleId='mar.insider_list_hit'; the chain captures the considered-but-blocked order. Vortalis does not perform the MAR check itself.
The general-purpose honest limits sit at /security/limitations; this list is specific to the financial services pack.
Bring Vortalis to your financial services agents.
Read the integration brief if you would rather start with the engineering detail. Talk to us first if you would rather start with a conversation about your threat model.