SEC/FINRA Books & Records
US
5 source references
7 mapped control areas
Regulated SaaS, Financial (cache disabled)
About this template
A broker dealer must keep, supervise and produce records of client communication. Put an assistant in that path and it creates records the moment it answers. This starter narrows what it can produce and marks each evaluated request for your supervision program.
Retention clocks start without anyone deciding that they should. A supervisory principal then has to find, review and approve material that a model wrote. Attribution is therefore the first control rather than an afterthought.
The identity check refuses a call without verified user and organization claims, so a draft belongs to a registered person. Taxpayer identification numbers are masked. Prompts that ask for an account export, wire details or credentials are blocked.
Quality gates hold a combined floor of 0.86, relevance at 0.78 and accuracy at 0.80. An answer of one sentence fails, and so does anything under 120 characters. Grounding is measured and flagged, which supports a supervisory review rather than replacing it.
Supervisory approval is built in as an absolute step. A principal receives each response as a recorded escalation, and the requester receives no drafted text. That matches how a report release or a control change should move, and it applies equally to a small question. The closing stage marks each evaluated request and never blocks one.
Be careful about what the gateway does not do here. It does not store records, apply a retention period, or provide storage that prevents rewriting. Archiving and the audit trail sit in systems that you select and validate against the applicable rules.
Source frameworks, standards and obligations
Control areas mapped by this template
Deployment options
Adapt the template in three steps
Review the scope
Confirm that the regions, source references, control areas and deployment options fit your use case.
Adapt the configuration
Open the template in the Verdictan console. Set its policies, thresholds, routing and review requirements for your environment.
Test before deployment
Test each policy outcome. Confirm that allowed, redacted, blocked and reviewed requests behave as expected.
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