FOR COMPLIANCE & RISK

Turn current requirements into controls that act before the decision advances.

Monitoring regulatory change, updating policy, and testing afterward are necessary—but they do not prove that a specific investment decision met the required conditions when it happened. SigmaX makes that control process explicit, versioned, and reviewable.

SigmaX is decision-support and control software, not legal advice. Your compliance and legal teams retain interpretation, applicability, suitability, tax, trading-conduct, and supervisory judgment. RegWatch is built and runnable in read-only dry-run; scheduling and firm-specific activation are operator-controlled.

The current gap

Policy intent is often separated from the decision it is supposed to govern.

Regulatory change becomes a manual relay

A new rule, guidance item, examination priority, or enforcement signal must be identified, verified, interpreted, mapped to policy, communicated, and then remembered inside the workflow.

Evidence and approval live in different places

The applicable mandate, supporting documents, exceptions, reviewer notes, and final authorization are rarely preserved as one decision-time record.

Testing begins after exposure already exists

Post-event surveillance and examination preparation can identify gaps, but they cannot prevent an unsupported or unauthorized action that has already advanced.

What SigmaX changes

Make compliance an executable gate—not another policy binder.

Authoritative-source provenance

RegWatch can monitor an allowlisted set of official public sources when armed and produce a change card with the source, time, affected artifact, owner, and provenance.

Firm-controlled interpretation

Compliance or counsel verifies applicability. SigmaX does not silently change legal meaning; it carries the firm-approved, versioned requirement into the appropriate workflow.

Pre-action holds and blocks

Missing evidence, policy conflicts, unresolved exceptions, stale mandate context, and absent authorization can hold or block the route before implementation.

Exam-ready decision records

Each record preserves the requirement and version checked, evidence considered, exception state, named approver, decision, and final route status.

BOUNDED FIRST WORKFLOW

Test the mechanism on one completed decision.

Use a de-identified allocation, rebalance, exception, adviser recommendation, or committee decision. The purpose is to determine whether the required proof existed at decision time and how much work it takes to reconstruct today.

01
Select the decision
Choose one completed workflow with meaningful evidence, mandate, policy, exception, and approval requirements.
02
Map the applicable controls
Identify the governing documents, firm policies, required evidence, decision owner, and escalation path.
03
Rebuild the decision state
SigmaX organizes what was known, what challenged the action, what was missing, and who had authority.
04
Run the examiner test
Evaluate whether the exported record would let compliance answer the question without inbox archaeology or undocumented assumptions.

The first review

Determine whether the firm can prove compliance before action—not only afterward.

Start with one completed, de-identified decision. No production integration, system credentials, trading access, custody access, or change to existing authority is required to determine whether the control gap is real.

What it should prove

Which authoritative requirement, mandate, or firm policy applied
Whether the supporting evidence was current, traceable, and complete
Which contradictory evidence and exceptions were considered
Whether the correct person held the required authority
Where the current process depends on manual memory or reconstruction

Compliance disclaimer

SigmaX provides capital decision intelligence, scenario analysis, and authority workflow software. SigmaX does not provide investment advice. SigmaX does not place trades, move funds, route customer capital, or manage client capital. Shadow/simulated/paper/backtested results are not live trading results. No result is a guarantee of future performance. Human approval is required before any capital-linked action.

Where SigmaX uses AI, it is governed as assistive software: truthful capability claims, human oversight, traceable records, disclosure of AI assistance, and no capital authority. SigmaX designs AI controls with reference to applicable securities obligations, FINRA existing-rule guidance, SEC AI-claims discipline, NIST AI RMF-style risk management, and EU AI Act transparency readiness. This is compliance-readiness design, not a claim that every deployment or jurisdiction-specific use has completed legal review.