mlsanityData to 7 Oct 2026

Agent Security Meets Regulatory Reality -- A Practitioner Systematization of Autonomous-Agent Threats and Controls in Regulated Financial Systems

arXiv 2606.29142 ↗First posted 28 Jun 2026cs.CY cs.SEcited by 0

On the map: LLM agents and tool use → Financial trading and forecasting agents

Abstract (arXiv)

Large language model agents are entering regulated financial systems, yet the security literature characterizing their attack surface is almost entirely laboratory-based, and the practitioner guidance on regulated deployment is neither peer-reviewed nor connected to a formal threat model. We bridge the two from production experience. We map six established agentic threat categories namely prompt injection, identity and authorization, action auditability, tool abuse, data residency, and boundary policy enforcement onto the specific control obligations imposed by the US and the EU financial regulation (ECOA and Regulation B, the EU AI Act, GDPR Article 22, and FINRA's 2026 agent guidance), showing how legal accountability amplifies each threat relative to an unregulated deployment. We then document four architectural patterns from a production Know Your Customer deployment for a consumer credit product (A2A compliance choreography, grounded-RAG-for-audit, case-ID propagation, and an inference-boundary redaction proxy) that moved a multi-day manual process to same-day automated resolution for roughly four in five cases. Finally, we report three negative results, including two control failures surfaced only by internal audit and a population of legitimate applicants the automated pipeline cannot serve. Securing agents under regulation, we conclude, is less about novel attack classes than about making auditability, least-privilege authorization, and boundary policy enforcement real at production scale -- requirements current agent frameworks leave to the deploying engineer.

Key facts. No citing papers in the map yet (data through 7 Oct 2026). Placed in Financial trading and forecasting agents, one of 16 directions in LLM agents and tool use. Builds on 12 of its 21 references that are in the map. First posted on arXiv 28 Jun 2026.

Builds on

12 of 21 references.

Closest ancestors · 2

Same direction, newest first

  1. 2026Type-Checked Compliance: Deterministic Guardrails for Agentic Financial Systems Using Lean 4 Theorem Proving1 Apr
  2. 2026FinVault: Benchmarking Financial Agent Safety in Execution-Grounded Environments9 Jan

Other references · 10

  1. 2020Retrieval-Augmented Generation for Knowledge-Intensive NLP Taskscited by 9,160
  2. 2023Not what you've signed up for: Compromising Real-World LLM-Integrated Applications with Indirect Prompt Injectioncited by 1,339
  3. 2025Open Challenges in Multi-Agent Security: Towards Secure Systems of Interacting AI Agentscited by 66
  4. 2025Securing Agentic AI: A Comprehensive Threat Model and Mitigation Framework for Generative AI Agentscited by 32
  5. 2026The Landscape of Prompt Injection Threats in LLM Agents: From Taxonomy to Analysiscited by 25
  6. 2026From Storage to Steering: Memory Control Flow Attacks on LLM Agentscited by 17
  7. 2025Identity Management for Agentic AI: The new frontier of authorization, authentication, and security for an AI agent worldcited by 14
  8. 2025Systematization of Knowledge: Security and Safety in the Model Context Protocol Ecosystemcited by 14
  9. 2026A Systematic Survey of Security Threats and Defenses in LLM-Based AI Agents: A Layered Attack Surface Frameworkcited by 9
  10. 2026Caging the Agents: A Zero Trust Security Architecture for Autonomous AI in Healthcarecited by 3

Built on by

Not cited yet.

Similar, not cited

Close in wording, no citation either way

  1. 2025The Agentic Regulator: Risks for AI in Finance and a Proposed Agent-based Framework for Governance
  2. 2026Compliant with Local Controls, Collectively Discriminatory. A Governance Architecture for Multi-Agent AI in Regulated Finance
  3. 2025Agentic AI for Financial Crime Compliance
  4. 2026Governing Agentic AI in FinTech
  5. 2026Governance at the Boundary: How Agent Decomposition Degrades Policy Compliance
  6. 2026Agentic AI, Retrieval-Augmented Generation, and the Institutional Turn: Legal Architectures and Financial Governance in the Age of Distributional AGI
  7. 2026Regulating autonomous and agentic AI
  8. 2026A pragmatic approach to regulating AI agents