Regulatory Reporting

A regulatory filing is signed by a person who accepts the consequences of every sentence. A model can draft narrative sections quickly and can also invent a supporting claim. This starter puts a measured gate in front of that draft and keeps the signature human.

A reporting lead reaches for this starter when analysts draft narrative sections and variance commentary with a model. A draft request that includes a secret, a client account export or wire instructions is turned away. Masking applies to national identifier numbers that appear in a reporting prompt. Prompt screening runs first so that a pasted instruction cannot bypass the later stages.

The market abuse screen refuses returned text that names insider trading or material non-public information. The phrase guaranteed returns is blocked in returned text, together with the instruction buy this stock. A required notice marks output as informational content rather than financial advice. Both screens act on generated wording, which is where an unsupported claim usually appears.

A draft must score 0.86 in aggregate, with 0.78 relevance and 0.80 accuracy, or the gateway refuses it. Length matters too, because the gate needs 120 characters and two sentences at minimum. Scoring and review routing do not run against streamed output. Use a non streaming path when you want the gate on every draft.

Oversight is a placeholder in this starter. Configure it before you describe review as an enforced step. Audit marking never refuses traffic, and it is not a records system. Retention and export remain separate settings that your team owns. Reporting obligations under SOX, SEC books and records rules, FINRA supervision and MiFID II stay with named reviewers.