Sparcle for Financial Services

Erasure and retention. One primitive.

Regulated finance has a structural contradiction: GDPR demands erasure, SEC and FINRA demand retention. Bolt and Aeira resolve it with one cryptographic primitive. Disposal of the per-tenant key destroys readability while WORM ciphertext remains on the shelf. Both auditors satisfied. The verifier binary is in your hands; Sparcle is not in the loop.

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Compliance frameworks

What Sparcle ships against.

Financial services compliance is the intersection of SOX, SEC 17a-4, FINRA 4511, GLBA, NYDFS Part 500, and increasingly GDPR Art. 17 when EU customer data is present. Each row below maps to concrete implementation.

Financial services compliance frameworks and what Sparcle ships against each
FrameworkWhat Sparcle ships against it
SOX (Sarbanes-Oxley, Sections 302 / 404)ICFR-relevant records must be retained, attestable, and tamper-evident. Bolt's Ed25519-signed Merkle audit chain is designed to satisfy the integrity requirement; the standalone verifier is the artifact your auditor runs against the chain.
SEC Rule 17a-4 + FINRA 4511Broker-dealer record-keeping. Records must be retained in WORM or equivalent non-rewritable, non-erasable format. We do not claim this today: our object store does not yet enforce object-lock retention, so the WORM half of 17a-4 is not something Aeira provides. The cryptographic-disposal construction that addresses the erasure half is real and documented. Ask us where this stands before it is a factor in your decision.
GLBA + NYDFS Part 500Customer financial information protection. Bolt's PII masking at the LLM boundary, identity-bound retrieval, and audit-trail responses are the building blocks GLBA and NYDFS require for AI-touching workflows.
GDPR Art. 17 / 28 (when EU customer data is present)Per-person erasure handles a Right-to-be-Forgotten request with a signed receipt, while sealed audit records are retained for SEC and FINRA duties. Per-tenant crypto-shred and the per-person path are detailed at /trust/cryptographic-erasure.

Data residency posture

WORM and key custody, owned by you.

WORM-eligible audit chain

The chain is byte-stable: replay produces identical bytes, which is the property that makes it worth locking. Pairing it with S3 Object Lock or Azure Immutable Blob is a deployment you would configure, not something our storage layer enforces for you yet.

Customer-held KMS

Vault Transit, AWS KMS, Azure Key Vault, or PKCS#11 HSM. The crypto-shred construction means Sparcle cannot read tenant data without the customer-held CMK.

Erasure-with-retention via one primitive

Cryptographic disposal of the per-tenant CMK destroys readability while the ciphertext remains, which is what lets one primitive serve both a retention duty and an erasure duty. To be precise about what we enforce: the ciphertext persisting is a property of the construction, not of a WORM-locked store we operate on your behalf.

Trading-floor and ops latency

p95 retrieval target ≤ 200ms on 100M-doc tenants. The first published benchmark ships during pilot. Aeira's keyword + vector + graph fusion is sharded for desk-side response latencies.

1-page brief

Take this to your CCO and your auditor.

The finance-vertical brief covers SOX and SEC posture, WORM-eligible storage, the cryptographic-disposal construction, and the trust artifacts an auditor reviews.

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Workflows the founding team has built for

Four anchor use cases.

The workflows below are scoped with regulated-finance design partners. The Authority Policy SDK and connector configuration are the per-customer tuning points.

  • Trade-surveillance review Cross-source synthesis across order management, communications surveillance, and policy. Authority Policy ranks current policy above superseded; identity-bound retrieval respects desk-and-role scopes.
  • KYC and counterparty research Multi-source synthesis with citation hygiene. The Authority Policy demotes outdated or rescinded source-of-record material below the cut.
  • Regulatory filing prep (10-K, 13-F, ADV) Pull authoritative material from internal source-of-record systems; every cited authority resolves; audit chain captures provenance for the auditor.
  • Audit and IG response Time-bounded audit-chain export with the standalone verifier binary. The auditor runs the verifier; Sparcle is not in the verification loop.

Trust dossier for finance

The four artifacts your CCO and your auditor will ask for.

/trust/cryptographic-erasure

Per-tenant disposal with retention preserved, and how one person's Art. 17 request is handled. The packet your auditor receives.

/trust/verify

The standalone audit-chain verifier. Your auditor runs it offline. The artifact a SOX or SEC audit pack relies on.

/trust/incident-response

Five-phase response framework with severity SLAs. The runbook a CISO at a regulated financial institution expects.

/trust/where-the-model-runs

How customer financial data is masked before any outbound LLM call; how the three deployment modes compare for trading-floor latency budgets.

Want to walk this against your specific recordkeeping posture?

A 30-minute finance architecture review covers your SEC and FINRA obligations, your WORM storage choice, your KMS custody, and the workflows your desks need. Founder-led; the engineering team is on the call.

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