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Compliance Rule Coding demo

Turns IMAs, prospectuses and side letters into tested, cited rules for the compliance engine 1:30

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What the demo shows

Turns IMAs, prospectuses and side letters into tested, cited rules for the compliance engine

The rule bench puts the clause on the left, in its original language beside English with its definitions trail, the rule in plain words in the middle, and a test bench on the right that runs the rule against today's portfolio, a 12-month back-test and agent-made edge cases. Seven agents do the work: the Intake agent reads the mandate package and finds side-letter overrides, the Coding agent drafts each rule with citations, the Reading agent reads every clause again on a different model without seeing the draft, the Mapping agent ties terms to data and resolves exclusion lists, the Tester agent builds edge cases and back-tests each reading, the Load agent dry-runs and loads, and the Evidence agent keeps the trail and back-cites legacy rules. The analyst decides every interpretation, a senior compliance officer who did not code the rule checks it, and the Head of Investment Compliance releases the package.

Transcript

  1. Compliance Rule Coding turns client agreements and side letters into tested rules for the compliance engine.
  2. A misread limit is costly.
  3. One SEC fine in 2024 was $4 million.
  4. For a German pensions mandate, agents drafted 41 cited rules from 47 clauses.
  5. The rule bench, the clause, the rule in plain words, the tests.
  6. A second agent read it blind and disagreed.
  7. Domicile or country of risk?
  8. The side letter says sits.
  9. Definition 1.14 says country of risk.
  10. Backtested, domicile shows three days over the 10% limit.
  11. Nadia chooses country of risk, cites 1.14, and sends it on.
  12. Tomas checks it and signs.
  13. A coder never signs their own rule.
  14. Only then does it load, cited, signed, and logged.
  15. Mandate rules live in a day, not two weeks, each read twice.
  16. Built on Botminds: agents, data, screens, and governance on one platform.

Transcribed from the film’s narration. Captions are on the player.