A concentration-limit exception becomes an auditable record — not an inbox note.
A client redemption briefly pushes a position over the firm's concentration limit. Walk the exception request from the ops desk through the policy check to a documented, time-boxed compliance decision — the kind of record auditors ask for and teams usually reconstruct after the fact.
What this demonstrates: Approvals, evidence, exceptions, and expiries are captured together from the start — so an audit is a query, not an archaeology project.
- 1. Inputs
- 2. Signal
- 3. ActionIntent
- 4. Mandate
- 5. Preflight
- 6. Compliance
- 7. Authorize
- 8. Outcome
Confirm the account context
SigmaX starts from a Capital Twin: the account model that carries positions, mandate, constraints, and context. Here is the sample context for this walkthrough.
- Policy
- Issuer concentration ≤ 5% of the firm book
- Trigger
- Client redemption forces a temporary 6.2% position
- Requested by
- Operations desk
- 48-hour settlement window
- Evidence attached
- Redemption notice, settlement timeline, exposure calc
- Exception rule
- Requires compliance sign-off + expiry + evidence
- intent_id
- ai_demo_compliance_exception
- twin
- Meridian Capital — firm book (Ops / risk workspace)
- proposed_by
- Operations desk
- route
- —
- reason_code
- pending
- evidence
- 4 measured · 2 derived · 1 inferred
Sample packet. SigmaX produces a decision record and a non-executing route — it never places a trade, moves money, or routes customer capital.
This is an illustrative sample with fabricated data. SigmaX analyzes and governs; deterministic systems validate; a human authorizes; capital remains governed. SigmaX does not trade, custody assets, move money, or route customer capital.
Every proposed capital action, governed the same way.
Whatever AI or team proposes the action, SigmaX runs the same mandate, Preflight, compliance, human-authorization, route, and audit sequence you just walked through. SigmaX analyzes and governs; a human authorizes; capital remains governed.