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AI agent for compliance officers

Restricted List and Trade Compliance Agent

No trade breaks firm compliance rules

ComplianceFinance
See how it worksGet access
Restricted List and Trade Compliance Agent: what goes in, what the agent does and what you get

What it does

A trade in a restricted name can lead to fines and serious trouble for the trader and the firm. This agent checks planned trades against compliance rules before they are placed. It loads the restricted and watch lists, holding period rules, pre-clearance needs and position limits. For each planned trade it checks every rule and records the result. Restricted names and sales inside the minimum holding period are blocked. If pre-clearance is needed, it drafts the request with the details for compliance to approve. Just before execution it checks again, since lists change during the day, and asks for fresh pre-clearance if the approval expired. After trades, it compares fills to approved requests. Compliance approves pre-clearance and the trader places trades. Edge case: a stock is added to the restricted list at noon, after morning approval.

How it works

Follow the arrows from top to bottom. The orange dashed arrow is the loop: when a check fails, the agent goes back and tries again.

Start and resultWhat it doesA check on its own workWaits for your OKGoes back and retries
ApprovedYes, continueNo 1 STARTS WHEN Trade planned 2 USES A TOOL Load lists and firm rules 3 DOES Check trade against each rule 4 USES A TOOL Draft pre-clearance request if needed 5 YOU APPROVE Compliance approves pre-clearance 6 CHECKS THE RESULT Is the trade still clear right before execution? If not: block the trade and tell the trader why. Back tostep 2. 7 RESULT Compliance log updated after fills
Read the steps as a list
  1. Trade planned
  2. Load lists and firm rules
  3. Check trade against each rule
  4. Draft pre-clearance request if needed
  5. Compliance approves pre-clearanceThe agent waits here for your OK.
  6. Is the trade still clear right before execution?If not: block the trade and tell the trader why. Back to step 2.
  7. Compliance log updated after fills

How it decides

It blocks any trade that matches a restricted name or breaks a rule.

  • Name on restricted list: block
  • Holding period under minimum: block sale
  • Pre-clearance expired: request again

Make it yours

Every agent is a starting point. You choose these settings for your own situation.

  • Rules in scope
  • Pre-clearance validity
  • Recheck timing
  • Log format

What keeps you in control

It always asks you first

  • Pre-clearance

Hard limits

  • Never overrides compliance
  • Never places orders

It stops when

  • Done: trade cleared and logged
  • Stop: rule data unavailable

Set it up

We guide you through the set-up, step by step

Members get the full set-up guide for this agent. No technical skills needed: you copy, paste and upload.

10 minto set it up in your AI
5 AIsChatGPT, Claude, Copilot, Gemini, Grok
  • One set of instructions to paste into your AI, with the clicks for ChatGPT, Claude, Microsoft 365 Copilot, Gemini and Grok
  • The agent then walks you through connecting your own data, one source at a time
  • A downloadable copy with the flow chart, the rules and the full guide
Get access to this agent

An example run

What happensOn March 4 a trader got pre-clearance at 9:15 to buy a mid-cap stock. At 12:10 compliance added it to the restricted list because the firm took on an advisory deal. When the trader was ready at 13:00, the pre-execution check failed. The agent blocked the order and logged the reason. Compliance confirmed the block and the trader cancelled the plan.

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