✓
Intake
2
Rules
3
Config
4
Dashboard
5
Detail

Reg BI Rules Engine

Configure the compliance checkpoints, conflict categories, and thresholds that govern how the agent evaluates every recommendation.

⚖️
These rules inform the agent's analysis — they do not replace your firm's compliance policies. Review with your CCO before activating.
📋 Disclosure Obligation Checkpoints

Select required disclosures the agent should verify before approving any recommendation.

Form CRS Delivered
ADV Part 2A Provided
Fee Schedule Reviewed
Conflict Disclosure Signed
Product Brochure/Prospectus
Privacy Notice (Annual)
Risk Disclosure Statement
Margin Agreement (if applicable)
🔍 Care Obligation Checkpoints

Define what the agent should verify about the advisor's understanding before signing off.

Product Features & Riders
Total Cost Structure
Material Risks
Liquidity Constraints
Surrender Schedule
Tax Treatment
Comparable Alternatives
Financial Goals Documented
Risk Tolerance Assessed
Time Horizon Confirmed
Liquidity Needs Verified
Income & Net Worth Current
Tax Situation Reviewed
Existing Holdings Reviewed
Insurance Needs Assessed
⚠️ Conflict Categories to Monitor

Select which conflict types the agent should flag and require mitigation documentation for.

Proprietary Products
Compensation Differentials
Revenue Sharing
Rollover Recommendations
Account Type Selection
Cross-Selling
Limited Product Shelf
Sales Incentive Programs
Gifts & Entertainment
📊 Compliance Thresholds
Flag if recommended product costs exceed cheapest alternative by this %
Flag if single product exceeds this % of client portfolio
Enhanced scrutiny for clients at or above this age
Minimum alternatives to document per recommendation
Recommendations scoring above this auto-clear (no high flags)
Recommendations scoring below this auto-escalate to compliance
← Back Save & Continue →