PLU-005 · FinServ vertical
Beta cohort · Q3

§01 · The Monday-morning scenario

The SEC examiner requests the AI decision record.
The record is already signed.

It's the first Monday of the exam window. Your firm's quant desk routes a block-trade through the AI model at 09:14. By the time the examiner's letter lands in the GC's inbox, they want — by record — what score triggered the flag, which model version produced it, and whether the threshold that drove it is the same one in force last quarter. Plumbline captures all three before the request leaves the desk.

The scenario · 09:14 AM, Monday

Equity-routing flag on block-trade #04-7421.
Six questions. One ledger.

  1. 1.What model produced this decision — and which version? The SDK tags the model identifier, the commit, and the routing-policy version at inference time — captured inline, not reconstructed from a CI log five months later.
  2. 2.What score triggered the flag? Three evaluators ran inline: a venue-impact rubric, a wash-trade-overlap gauge, and a regulatory-threshold ceiling. Each evaluator signed its result to the same row.
  3. 3.Is the threshold policy reproducible? The escalation threshold, the throw rate, and the policy hash are all on the same record as the model output — three lookups, not three vendor portals.
  4. 4.Has the model behaved the same way all quarter — or is there drift? Drift ledger pulls the same evaluation key against the last 90 days — calibration curve walks the examiner back in a single view, and any incident on the way is on the same chain.
  5. 5.Who has access — and is the access trace in the row? Scope is set at write time and recorded with the row. `compliance`, `risk`, `exam-read-only` are distinct call paths, and every retrieval leaves its own audit crumb.
  6. 6.Will the record hold up under subpoena? SHA-256 signatures anchored to a key not on the production write path; tampering is detected at fetch time, not at audit time.

What Plumbline captures

Three artifacts.
The same ledger. No spreadsheet stitch.

The examiner's questions all reduce to three artifacts. A FinServ pilot ships with all three wired up — so the replay, the walk-back, and the SOX / SEC compliance package come from the same source of truth, not three vendor portals stitched together the week the letter arrives.

EVAL · SHA-256 · KEY-ANCHORED

Signed evaluation records

Every trade-routing flag, credit decision, and pricing override joins a SHA-256 hash chain as a signed record. Provenance is a query against the ledger — not a forensic exercise the week your examiner visits.

/dashboard/compliance →

DRIFT · INCIDENT · RESOLUTION

Drift ledger

Score distribution, calibration curves, and the threshold-violation incidents all flow into the same ledger. When quarter-end closes, the walk-back to the prior record is a single replay — the examiner walk-through is the replay, not a rebuild.

/dashboard/compliance →

SOX §404 · SEC EXAM

SOX / SEC compliance package

A pre-built evidence package your SOX §404 owner opens directly — ITGC audit-trail retention, change-management attestations, and logical-access scopes, each tied to the specific record that satisfies the control.

/dashboard/compliance →

The pilot

One trade-routing or credit-decision model.
One evaluator. Sixty days.

The FinServ pilot is shaped around the model you already run — a trade-routing, credit-decision, or fraud-scoring model with one or two evaluators that don't need a full evaluation team to maintain. Register the model, and the first record lands in your ledger the same day.

We co-write the scope in week one: data surface, access scopes, retention window, examiner-read-only role, and the SOX §404 control rows your evidence package will satisfy. The replays are real-data, sixty days deep, before any contract is drawn up — so the examiner walk-through is, by definition, a replay of evidence you've already collected.

See it live →See pricing tiersSDK quickstartFinServ blog post — forthcoming
PLU-005 · FinServ vertical
Vertical pilot
Reserve a FinServ pilot slot
Each FinServ pilot ships with a SOX §404 evidence floor, an exam-read-only role for the SEC window we agree on up front, and a retention window set before the first record is written. Drop your email and we'll send the scoping checklist before any contract is drawn up.

We'll never share your email. No marketing blast — only the next-step note when a slot opens. If your examiner window is already on the calendar, mention the date on the call.

Already running an evaluation surface? Email plumbline-ai-9@polsia.app with the model surface and we'll skip the waitlist.

§06 · Pricing

Ready to see this on your models?

Get started in minutes — pick a pilot tier, point the SDK at one model, and the first signed record lands in your ledger the same day. Cancel any time before the first sixty-day replay review.