Model Risk Management & Deterministic AI Compliance

Turn AI regulation into
executable compliance.

PEARL translates fragmented HKMA, SFC, PCPD, and IA requirements into tailored control baselines, supervisory audit dossiers, and continuous evidence packs — so regulated institutions can deploy AI with absolute defensibility.

Deterministic Control Compilation • Zero LLM Hallucinations • Audit-Ready from Day 1

Inspect Sample Dossiers
In-VPC & Air-Gapped Deployment Zero Client Data Retention Mutual NDA Protected
Global Coverage: HKMA / SFC / PCPD EU AI Act (Ready) MAS FEAT US SEC AI Rules

Trusted by Risk & Compliance Teams at

Tier-1 HK Investment Bank Global Asset Manager APAC Retail Bank
The Industry Dilemma

The Translation Gap in Regulated AI.

Regulation is drafted in legal prose, but financial institutions must operationalize it as precise engineering controls.

01 / The Alignment Gap

Compliance vs. Engineering

2LoD Compliance understands regulatory obligations but lacks technical architecture blueprints. Engineering understands models but cannot map legal circulars. The outcome: risk paralysis and multi-month delays.

02 / The Advisory Trap

Slow & Static Consulting

Traditional advisory firms require 6+ months and hundreds of thousands in billables to produce a point-in-time narrative report. The moment model hyperparameters or prompts drift, the audit baseline becomes obsolete.

03 / Generic Tooling

Empty GRC Platform Shells

Generic GRC tools offer workflow trackers but contain zero domain-specific AI logic for Hong Kong regulatory frameworks. They leave institutions asking: "Given our specific license and model topology, what exact controls must we deploy?"

Layer 0: Regulatory Foundation

The AI Compliance Knowledge Matrix.

The continuously verified regulatory ontology that powers PEARL's deterministic mapping engine.

Deterministic Precision

1,000+
Proprietary Automated Ontology

PEARL's core technological moat: an automated regulatory knowledge graph. We algorithmically parse global AI mandates (HKMA, SFC, EU AI Act, MAS) into structured, verifiable engineering control nodes with paragraph-level provenance.

Hallucination-Free Engineering

Unlike generative AI which invents citations, PEARL executes deterministic graph evaluation. Every triggered control links directly to verbatim regulatory clauses, creating an unassailable audit defense.

HKMA_SPM_TM-E-1: VERIFIED SFC_SCHED_7: ENCODED PCPD_ETHICAL_AI: ATOMIZED
LEDGER_STATE // HK-2026.1 ACTIVE & AUDITED
Omni-Coverage Ratio 100%
Regulatory Mandate Ingestion SYNCHRONIZED
Paragraph-Level Citations 5,000+ Points
Deterministic Integrity Checksum SHA256: 0x82b4...fa22
Layer 1: Baseline Generation Engine

Transforming Ambiguity into Action.

Given your institution's license profile and AI system topology, exactly what technical and governance controls are mandatory?

01 / Input: DNA

Licensed Entity Profile
  • SFC Type 1, 4, 7 & 9 Licensed Corps
  • HKMA Authorized Institutions (Banks)
  • Authorized Insurers & MPF Trustees

02 / Input: Domain

AI Workload Context
  • Algorithmic Trading & Smart Order Routers
  • Robo-Advisory & Automated WealthTech
  • Customer GenAI & Autonomous Credit Scoring

03 / Output: Control Baseline

Deterministic Compilation
UNIVERSAL BASELINE

Cross-regulatory core: Bias testing, Model explainability, Human-in-the-loop oversight.

SUPERVISORY OVERLAYS

Jurisdiction-specific conduct rules routed by SFC/HKMA supervisory policies.

Output_Checksum: 0x82b...f1 Audit Ready
Translation Engine Specification Preview STATUS: COMPILED
Raw Regulatory Mandate (Supervisory Language)
"Authorized Institutions must ensure algorithmic systems and trading models are rigorously tested to prevent adverse market impact and establish clear circuit breakers..."

— HKMA Supervisory Policy Manual (SPM TM-E-1)
PEARL Atomic Control Specification (Engineering-Ready)
"control_id": "HKMA-ALG-001"
"requirement": "Pre-Trade Autonomous Price Collar & Kill Switch"
"classification": "MANDATORY_BLOCKING"
"mapped_to": ["DEVSECOPS-SEC-592", "MRM-TIER-1"]
Trust OS Interface

See the Platform in Action.

A single pane of glass bridging policy intent and CI/CD reality.

app.pearl-os.io/compliance-matrix
PEARL Trust OS
Deployment Mode
In-VPC HK (Air-Gapped)

Status: 1 Action Required
Pre-Trade Price Collar & Latency Throttle (SFC-TRD-01) BLOCKING
SFC Schedule 7 Para 1.2 — Millisecond real-time price bound telemetry.
VERIFIED Jenkins Pipeline #412
Algorithmic Kill-Switch Quarterly Drill (SFC-GOV-01) MANDATORY
SFC Code Para 5.4 — Formal 2LoD Risk sign-off and failover drill minutes required.
ACTION REQUIRED
PII Anonymization Pipeline (PCPD-DATA-01) PASSED
PCPD Ethical AI Model — Automated pseudonymization before model execution.
VERIFIED GitLab CI/CD
Dual-Model Hallucination Verification (HKMA-MOD-01) BLOCKING
HKMA SPM TM-E-1 — Independent secondary cross-verification on all retail advice outputs.
ACTION REQUIRED
Synthetic Content Opt-Out Disclosure (HKMA-CP-01) MANDATORY
HKMA GenAI Guidance Para 3.1 — Unambiguous visual AI disclosure & human escalation fallback.
VERIFIED Storybook Attestation

Enterprise Model Inventory (MRM Registry)

Tracked under Model Risk Management framework with automated policy binding.
3 AI Systems Registered
MODEL-01: SmartOrder-Execution-Router-v4.2
Tier-1 High-Risk MRM • Algorithmic Execution • 19 Controls Active
AUDIT READY
MODEL-02: WealthAdvisory-GenAI-Assistant
Tier-2 Medium-Risk MRM • Customer GenAI • 15 Controls Active
1 ACTION PENDING
MODEL-03: Automated-Credit-Decisioning-v2
Tier-1 High-Risk MRM • Risk Scoring • 22 Controls Active
AUDIT READY

Atlassian Jira DevSecOps Sync

Deterministic policy enforcement translated into engineering tickets.
In-VPC Jira Connected
[PEARL-842] Implement Dual-Model Hallucination Validator in LangChain Pipeline
Mandate: HKMA SPM TM-E-1 • Assignee: MLSecOps Team • Priority: Critical
IN PROGRESS
[PEARL-841] Configure Latency Throttle on Algorithmic Dark Pool Gateway
Mandate: SFC Sch 7 Para 1.2 • Assignee: Quant Dev • Priority: Blocker
RESOLVED & VERIFIED
[PEARL-839] Conduct 2LoD Algorithmic Governance Committee Quarterly Attestation
Mandate: SFC Code Para 5.4 • Assignee: Model Risk Committee • Priority: High
READY FOR REVIEW

Compiled Defense Dossiers

Audit-ready supervisory packages with SHA-256 evidence verification.
2 Dossiers Compiled
📄
SFC Asset Manager Algorithmic Baseline Pack (PDF + JSON)
SFC Type 1, 4, 9 • SHA-256: 0x82b49c...fa22
Open Inspector →
📄
HKMA Authorized Bank GenAI Advisory Baseline Pack (PDF + JSON)
HKMA SPM TM-E-1 • SHA-256: 0x94fc87...dd91
Open Inspector →
Deterministic Policy Engine: Active (Zero LLM Hallucinations)
SHA-256 Baseline Integrity: 0x4a9b...7c81
Layer 2: Readiness Pack

Defense Dossier Generation.

Dual-track institutional deliverables: Executive Audit Dossiers for Board/Regulators + DevSecOps Jira matrices for Engineering.

Once your profile is compiled, PEARL produces an implementation-ready Defense Dossier customized to your regulatory licenses and AI technical stack.

Stop building governance from scratch. Arm your 2LoD Risk Committee with formal audit packs and your DevOps team with policy-as-code control tickets.

📄
SFC Asset Manager Baseline Pack
SFC Type 1, 4, 9 • Algorithmic Execution & Order Slicing
Inspect Pack →
📄
HKMA Authorized Bank Baseline Pack
Retail Banking • Customer GenAI Wealth Assistant
Inspect Pack →
DELIVERABLE_COMPILER // DUAL ARTIFACTS AUDIT VALIDATED
PDF Executive Supervisory Audit Memorandum
READY
JSON DevSecOps / Jira Policy-as-Code Tickets
READY
100% Verifiable Evidence Lineage SHA-256 Validated
Layer 3: Model Risk Lifecycle & Assurance

Continuous Governance & Audit Lineage.

From point-in-time compliance assessment to ongoing model lifecycle assurance.

01 / Dynamic Recalculation

Real-Time Regulatory Delta.

Every new circular issued by HKMA or SFC triggers an instantaneous recalculation against your active control baseline. Automatically identify coverage gaps before regulatory inquiries arrive.

02 / Automated Lineage

Model Version Lineage.

PEARL tracks control diffs across AI model iterations, generating an immutable audit trail for internal Model Risk Committees and external regulatory inspectors.

03 / Cryptographic Assurance

Supervisory Attestation.

Every baseline deliverable carries a SHA-256 integrity checksum. When HKMA or SFC conducts an on-site supervisory review, you possess mathematical proof of governance compliance.

The Business Case

Traditional Consulting vs. PEARL Trust OS.

Why manual advisory engagements fail the speed of production AI development.

Traditional Advisory / Consulting
Time to Deliverable 6 – 12 Months
Output Format Static Narrative PDFs
Audit Defensibility Subjective Consultant Opinions
Engineering Alignment Zero DevSecOps / Jira Tickets
Financial Cost $150k - $400k+ (Opex)
Regulatory Updates Repurchase Expensive Retainer
PEARL Trust OS ACTIVE
Time to Deliverable 4 Weeks (Instant Evaluation)
Output Format Dual Executive PDF + DevSecOps JSON
Audit Defensibility Verifiable Paragraph Citations
Engineering Alignment Jira-Ready Technical Controls
Financial ROI 70% Cost Reduction vs Advisory
Penalty Avoidance Proactive Regulatory Fine Mitigation
Institutional Genesis

Built by Architects Who Defended Institutional Audits.

Founder Ming Liu served as Business Information Security Officer (BISO) at Fidelity International and as a Senior Consultant at Deloitte. He understands institutional risk review because he chaired those committees.

"I built the exact deterministic control framework I would have required during my time as a 2LoD risk gatekeeper."

— Ming Liu, CISSP / CISM / CISA
MING LIU
Principal Architect & Founder
Ex-BISO Fidelity International • Ex-Deloitte
Backed By Deep Tech DNA
Engineering Leadership from Palantir & Stripe
Distributed Systems & Deterministic AI

From Regulatory Ambiguity to
Deterministic Governance.

The AI compliance infrastructure that makes rapid, defensible AI deployment possible for regulated financial institutions.

Inspect Sample Packs