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arxiv:2604.01483

Type-Checked Compliance: Deterministic Guardrails for Agentic Financial Systems Using Lean 4 Theorem Proving

Published on Apr 1
· Submitted by
Devakh Rashie
on Apr 7
Authors:

Abstract

A formal-verification-based AI guardrail platform uses neural-symbolic models to ensure regulatory compliance in autonomous financial AI systems with cryptographic-level certainty.

AI-generated summary

The rapid evolution of autonomous, agentic artificial intelligence within financial services has introduced an existential architectural crisis: large language models (LLMs) are probabilistic, non-deterministic systems operating in domains that demand absolute, mathematically verifiable compliance guarantees. Existing guardrail solutions -- including NVIDIA NeMo Guardrails and Guardrails AI -- rely on probabilistic classifiers and syntactic validators that are fundamentally inadequate for enforcing complex multi-variable regulatory constraints mandated by the SEC, FINRA, and OCC. This paper presents the Lean-Agent Protocol, a formal-verification-based AI guardrail platform that leverages the Aristotle neural-symbolic model developed by Harmonic AI to auto-formalize institutional policies into Lean 4 code. Every proposed agentic action is treated as a mathematical conjecture: execution is permitted if and only if the Lean 4 kernel proves that the action satisfies pre-compiled regulatory axioms. This architecture provides cryptographic-level compliance certainty at microsecond latency, directly satisfying SEC Rule 15c3-5, OCC Bulletin 2011-12, FINRA Rule 3110, and CFPB explainability mandates. A three-phase implementation roadmap from shadow verification through enterprise-scale deployment is provided.

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Paper author Paper submitter
edited about 3 hours ago

Hello everyone, thank you for following our work on the Lean-Agent Protocol. Given the architectural challenges of deploying probabilistic large language models (LLMs) in financial domains, we aim to provide a deterministic, formal-verification-based framework for agentic AI guardrails. Our research leverages the Aristotle neural-symbolic model to auto-formalize natural language institutional policies into Lean 4 code, ensuring that every proposed agentic action is mathematically proven to be compliant before execution. We hope this establishes a standard for "Type-Checked Compliance" that offers cryptographic-level certainty at microsecond-level latency. If you are interested in formal methods for AI safety or would like to contribute to this direction, please feel free to raise an issue or explore our code and live demo here: https://github.com/arkanemystic/lean-agent-protocol.

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