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 proves: 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.