Monitors recommendations, trades and communications (including AI-generated ones) against client profiles and firm policy to flag Reg BI, suitability, concentration and conflict issues, and maintains an auditable AI governance trail.
Not yet specifiedAssistiveComplexity: High
This agent is in the backlog. Registered interest decides which agents are specified and prototyped next.
What it does
Screen recommendations and trades against risk profile, time horizon, concentration and cost thresholds
Detect annuity exchange and rollover red flags
Review advisor and AI-drafted communications for FINRA 2210/Marketing Rule issues
Log prompts and outputs of AI tools
Triage alerts to supervisors by potential customer harm