24 lines
1.3 KiB
Markdown
24 lines
1.3 KiB
Markdown
# Regulated Industry Considerations
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The finance automation vision is conceptual and aspirational; it is not a claim of compliance. The design aims to align with GAAP/IFRS expectations and regulatory frameworks such as FINRA and SEC while preserving flexibility for jurisdictional variation.
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## Accounting Alignment
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- **GAAP/IFRS hooks:** Journal entry structures can map to ledger postings and disclosures, supporting external reporting pipelines.
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- **Controls:** Segregation of duties and PS-SHA∞ journaling provide traceability for approvals and policy overrides.
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## Regulatory Overlays
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- **FINRA/SEC:** Suitability, best execution, market surveillance, and recordkeeping requirements inform orchestration rules and logging depth.
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- **AML/KYC:** Agents should integrate identity verification and suspicious activity patterns, with contradictions escalated when risk flags collide with revenue objectives.
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## Posture Statement
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- **Conceptual only:** These documents describe intended capabilities, not audited compliance states.
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- **Evidence-ready:** The combination of journaled actions and explicit contradiction handling is designed to support future attestations.
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## TODOs
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- Map specific regulatory controls to agent responsibilities and PS-SHA∞ fields.
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- Draft sample audit trails demonstrating how finance workflows surface and resolve conflicts.
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