Defensible AI Governance for Investment Advisers and Fiduciaries
Traiceback Solutions helps SEC-registered investment advisers and ERISA-regulated fiduciaries operationalize AI governance frameworks grounded in recognized standards — built for the evidence a regulator, board, or plaintiff will request.
Founded by Gordon Eng, former General Counsel and Chief Compliance Officer with two decades of experience in securities regulation, ERISA fiduciary practice, and cross-border financial supervision.
AI governance is no longer solely a technology question. It is increasingly a question of fiduciary oversight, supervisory accountability, documentary evidence, privacy obligations, and defensible process.
The absence of prescriptive AI governance rules from regulators—or even the courts—does not mean there are no recognized standards. Frameworks issued by the National Institute of Standards and Technology (NIST), the International Organization for Standardization (ISO), and other widely accepted bodies are increasingly shaping expectations for reasonable oversight, fiduciary care, privacy, data stewardship, and defensible process.
Firms that thoughtfully operationalize these standards today may be better positioned for tomorrow’s regulatory scrutiny, private litigation, and questions of supervisory accountability.
Gordon Eng, Founder
Former GC & CCO · Luxembourg UCITS Director · NY & CT Bar
J.D. Fordham (magna cum laude) · M.B.A. NYU Stern (with Distinction) · B.S. Wharton · CISO Certificate, NYU Tandon · AI/ML Certificate, UT Austin McCombs (in progress)
Two decades inside the regulatory perimeter, building governance programs designed to survive examination, litigation, and board scrutiny.
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