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AI in the trade lifecycle: documentation implications in light of the five stages of AI regulation in the EU and UK

26 September 2026 / Author(s): Dr Michael Huertas, LLM, MB
Issue: October 2026 / Categories: Feature

This article traces five regulatory stages for AI in financial services: conduct risk, governance, operational risk, prudential risk and financial infrastructure. Agentic AI has accelerated the transition towards prudential and infrastructure frameworks, shifting regulation from addressing AI itself to addressing AI-dependent financial systems – a fundamentally different undertaking with profound implications for trading documentation.

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