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Pre-Trade Compliance Checks demo

Answers 'may this fund buy it?' before the order, citing the mandate or side-letter clause 1:34

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What the demo shows

Tells portfolio managers which funds may buy a security and how much, quoting the clause

The portfolio manager types a question into one bar: “Can we buy $20M of this issuer’s 2030 notes across our credit funds?” Under it, a row of fund tiles fills in 42 seconds, each with a large verdict, the headroom in dollars and the deciding clause quoted and linked. The Question agent resolves the security and the funds; the Restriction Reader quotes every clause that applies; the Headroom Calculator works from this morning’s holdings; the Issuer Evidence agent reads the issuer’s own filing when an exclusion depends on it; a Second Reader on a different model reaches its own verdict, and any disagreement goes straight to a compliance officer; the Allocation agent splits the order within headroom; the Record Keeper sends the answer with the order. The PM sends, compliance rules and signs, the trader executes.

Transcript

  1. Pre-Trade Compliance Checks tells portfolio managers, before the order, which funds may buy, and how much.
  2. Today, they email compliance.
  3. The SEC fined one advisor $4 million for not following its criteria.
  4. Elena wants $20M of Kestrel Mining 2030 notes across five credit funds.
  5. Agents read every prospectus and side letter, and compute Headroom from live holdings.
  6. Corban, yes. Global high yield, up to $6.5 million.
  7. Alamor, no. Its side letter caps thermal coal at 10%.
  8. Kestrel's 10K says 14, not the feeds 9.
  9. On short duration, the two readers disagreed.
  10. So, a compliance officer decides.
  11. Rohan compares both readings and rules.
  12. The SAI governs. Elena sends the order to the trader with its record attached.
  13. Every verdict cited, every override, signed twice, every step logged.
  14. The result, a cited answer for every fund in under a minute.
  15. Built on Botminds: agents, data, screens, and governance on one platform.

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