# Risk and Compliance

> Chapter 7 · Reading note · Web version: https://finance-agents.dev/categories/risk-and-compliance

Chapter 7 lists AML/KYC, fraud triage, due diligence, ESG review, and action firewalls that sit in front of irreversible tool calls. The chapter question is how those actions stay gated.

Full entry list: [Risk and Compliance](/chapters/7-risk-compliance-and-audit). The chapter page ends with a pitfall note.

## What the chapter covers

- Due diligence, AML/KYC, and firewalls

## Project pages

This chapter has no separate project page. The entry list is the chapter page.


## Who it is for

For someone designing a gate in front of an order, a payment, or a ledger write.

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GitHub facts: 2026-10-22. CC0 1.0 · https://github.com/aowang-ai/awesome-finance-agents

Maintained by Ao Wang (https://aowang.ai).