Restriction Intelligence

  • compliance
  • ESG
  • agent skills
  • client service

Purpose

Values-based mandates require more than a static exclusion list. Restrictions evolve, vendor flags misfire, and clients need defensible documentation when a name is added or removed.

Architecture

A versioned, file-based compliance monitoring system:

  • Three-part restriction standard with per-security opinion files and evidence dossiers
  • Full-universe LLM-assisted screening with documented rationale (including cases where non-healthcare names carried provider flags for operational reasons)
  • Soft-mandate scans and playbooks that learn from worked examples
  • Client-facing screening reports with a documented audit trail

Demonstrated outcomes

Live restriction lifts and additions with full provenance: what changed, why, and what evidence supported the decision.

Strategic value

Turns a recurring client-service burden into a repeatable system. Portfolio managers and client-facing teams get ahead of vendor feeds rather than reacting to flags after the fact.