02Industries · Asset & Wealth Management
Research and client-servicing agents that respect information barriers at the retrieval layer.
Regimes shaping the control design
- SEC Marketing Rule
- MiFID II
- FINRA 2210
- Information barrier policy
02The constraint
What actually stops the work here.
The hard problem is not summarisation. It is that your research corpus, your trading corpus and your client corpus must not leak into one another, and a single shared vector index quietly destroys that separation. Most AI pilots in this sector fail compliance review for exactly this reason. Isolation has to be structural, enforced by which index a request is allowed to reach, not by an instruction in a prompt.
03Workstreams
Where a pod starts in asset & wealth management.
Each of these is scoped to be in production inside one engagement, behind a gate, on a bounded slice of real volume.
Research synthesis
Retrieval across filings, transcripts, internal notes and market data, returning briefs where every claim carries a citation and a source-read timestamp.
Client reporting
Portfolio commentary drafted from position and performance data, routed through the existing supervision and archival stack before distribution.
Mandate and guideline monitoring
Continuous checking of holdings against mandate text, surfacing probable breaches with the clause and the position that triggered them.
Advisor desktop orchestration
One request fans out across CRM, custody and product systems, and returns a single assembled answer with each field attributed to its system of record.
Talk to us
Tell us which of these is on your board’s agenda this quarter.