For compliance teams with custom controls

Audit-native controls

Compliance controls that record evidence as they run, with full context. Every decision is captured, attributable and immutable. The chain of custody is ready when the auditor asks.

Findingb7e0d34May 23, 2026, 11:57 AM UTC9/10
Finding218af6cMay 22, 2026, 11:57 AM UTC9/10
Finding90c3e5bMay 21, 2026, 11:58 AM UTC9/10
Finding4f9c2a1May 24, 2026, 11:58 AM UTC7/10
“Trusted by 9 of the 10 largest U.S. carriers” anchors the Q2 brokerage campaign.

Substantiation. Signed-carrier records back the count, and the line reads as reputational standing, not a performance promise. Evidence. Two of the nine are month-to-month carriers up for renewal within 60 days, so the “9 of 10” rests on a thinner base than it looks. Exposure. Pinned to a fixed number, the claim turns unsupported the moment one of those relationships lapses.

FTC Act §5 · Advertising Substantiation · Advertising Review Policy §4.2
Bind the claim to a live carrier count and re-substantiate on any roster change.
Decision context: e7a13f0
problem

Controls are expensive to run and exhausting to prove

Every compliance team has controls that drain people, burn time and fray nerves. They are costly to run and often costlier to prove. And when they don’t fit how your business operates, they end up creating gaps instead of preventing risks.

01

Running them eats up talent

Where automation falls short, controls stay manual and throughput is capped by human bandwidth. Volume grows, queues grow longer and the business sits idle waiting for its green light.

02

Proving them takes even more

Monitoring and testing need nuanced judgment, and judgment is expensive. Evidence must be gathered, sampled and tied back to objectives by hand, for every single cycle, whether or not anything actually went wrong.

03

A poor fit costs twice

Generic controls fit the framework, not your business, and the work they create buys little protection. Teams inevitably route around the friction, leaving a dangerous gap between policy on paper and reality on the ground. A risk of its own.

Solution

Agentic controls that keep up with you and show their work

Every control is audit-native. As it runs, it records what it did and why. Bespoke controls used to mean expensive and brittle. No longer.

Tailored to your business

Controls that are built around your own rules and guidelines, not a generic requirement. Each control describes what you actually do. That’s what makes it worth running.

(d) Performance. An investment adviser may not include in any
advertisement:
...
(6) Any hypothetical performance unless the investment
adviser:
(i) Adopts and implements policies and procedures
reasonably designed to ensure that the hypothetical
performance is relevant to the likely financial
situation and investment objectives of the intended
audience of the advertisement;
(ii) Provides sufficient information to enable the
intended audience to understand the criteria used and
assumptions made in calculating such hypothetical
performance; and
(iii) Provides (or, if the intended audience is an
investor in a private fund, provides, or offers to
provide promptly) sufficient information to enable the
intended audience to understand the risks and
limitations of using such hypothetical performance in
making investment decisions;
C-12Backtest relevance gate for wholesaler decksActive

Before a wholesaler sends a model backtest, checks the deck’s stated audience against the model’s risk band and holds the send where the pairing is unsupported.

Modified:Apr 28, 202617 CFR § 275.206(4)-1(d)(6)(i)
C-12Backtest relevance gate for
wholesaler decks
1,480P0U6F
C-33Ownership discrepancy
resolution before close
135P0U12F
C-24Structured-note quota screen
for branch contests
9P2U0F

Run by agents

Agents do the work: understanding the context, applying the rule, making the call and recording why. Your team moves from chasing the queue to handling exceptions.

Adapt to your changes

Change the design and the control follows. A new rule is a revision, not a rebuild. That’s what makes controls bespoke without making them brittle.

C-12
Backtest relevance gate for wholesaler decks
Active
Before a wholesaler sends a model backtest, checks the deck’s stated audience against the model’s risk band and holds the send where the pairing is unsupported.
Modified:May 24, 202617 CFR § 275.206(4)-1(d)(6)(i)
How it works

You stay in command, we operate the control

You create your own controls and revise them as regulations or policies change. Every change is governed, and each one produces a new version of the design. Lunar Aspect’s agents execute the control and record the execution with its full decision context in an immutable, append-only store. Audit becomes a query.

See it in action

Lunar Aspect | Audit-native controls Lunar Aspect | Audit-native controls Lunar Aspect | Audit-native controls DESIGN LAYER Lunar Aspect | Audit-native controls Create Lunar Aspect | Audit-native controls your own, bespoke controls Lunar Aspect | Audit-native controls Revise Lunar Aspect | Audit-native controls based on regulatory or internal changes Change is governed Lunar Aspect | Audit-native controls CONTROL Design is versioned Lunar Aspect | Audit-native controls OPERATING LAYER Lunar Aspect | Audit-native controls Execute & Record Lunar Aspect | Audit-native controls with full decision context Lunar Aspect | Audit-native controls Store Lunar Aspect | Audit-native controls immutable and append-only Audit is a query Lunar Aspect | Audit-native controls Agents
Highlights

Everything your program needs

Custom controls

Run controls that serve your business, not some framework. No more control theater.

Scores and guidance

Every control produces scored findings and clear guidance that teams can act on right away.

Queryable records

Every control operation writes an attributed, tamper-evident record to an immutable store. Audit on demand.

AI access

Your AI tools can query the full decision trace through a stable, versioned and permissioned interface. No lock-in.

AI governance

AI actions can route through controls before they commit, ensuring they are governed and auditable.

Change governance

Policy updates and control changes are versioned, and control operation adapts to each new design. No silent drift.

Why it matters

Proof pays

A control that records its own execution gives you proof you can show. What that proof is worth depends on who you show it to, but in every case it is worth more than the work it saves.

Your customers

Buyers ask how you control what you promise. Answer with execution records instead of endless questionnaires, and diligence stops stalling deals.

Your auditors

Give auditors scoped, read-only access to proof and they answer their own questions. Eliminate the tedious evidence gathering you’d otherwise do for them.

Your leadership

Executives see which controls are working and which are not, based on evidence rather than assertion. Risk gets the visibility it deserves and the business case for compliance makes itself.

Why us
Why us

Engineered to grow with you

Engineered to grow with you

Help your business deliver on its promises as operations scale, AI accelerates and rules shift.

First-hand proof

Auditors ask how you decided, not whether a control ran. Once volumes run at AI speed, there is no reviewer left to ask. Lunar Aspect’s audit-native controls record the full decision context at the moment of execution, so you’ll always have first-hand proof, however fast you scale.

AI stays governed

Every AI workflow you deploy acts on your behalf and has to answer for it. Your tools can pull what they need from Lunar Aspect rather than rebuilding compliance inside them, and their actions can run through a control before they commit. AI stays governed as it grows.

Change is an edit

Policies change, regulations shift and controls go stale. With Lunar Aspect, updating a control is a document edit, not an engineering project. As your design changes, our execution changes with it, and every version is kept so you can show what was in place at any time.

First-hand proof

Auditors ask how you decided, not whether a control ran. Once volumes run at AI speed, there is no reviewer left to ask. Lunar Aspect’s audit-native controls record the full decision context at the moment of execution, so you’ll always have first-hand proof, however fast you scale.

AI stays governed

Every AI workflow you deploy acts on your behalf and has to answer for it. Your tools can pull what they need from Lunar Aspect rather than rebuilding compliance inside them, and their actions can run through a control before they commit. AI stays governed as it grows.

Change is an edit

Policies change, regulations shift and controls go stale. With Lunar Aspect, updating a control is a document edit, not an engineering project. As your design changes, our execution changes with it, and every version is kept so you can show what was in place at any time.

See Lunar Aspect in action

See Lunar Aspect in action

Get a tailored 30-minute walkthrough with our technical team.

Get a tailored 30-minute walkthrough with our technical team.