Workshop evidence
Regulatory Compliance Agent
This report separates source-only checks, native final-answer acceptance and learner-facing visual evidence. A screenshot supports only its reviewed visible scope; it does not certify every workshop step.
Deterministic case contract
These source-only marker checks are not, by themselves, native final-answer passes.
| Case | Must include | Must not claim |
|---|---|---|
RC-01 |
99.8%Strategy #5 | I don't have accessprovide the tradegive me a tradewhich trade would you |
RC-02 |
James MorrisonNo trader is lapsed | I don't have accessprovide the trader |
RC-03 |
APX-2024-8847Venue ID mismatch | I don't have accessupload |
RC-04 |
Strategy #5Pre-trade testing | I don't have access |
RC-05 |
APX-2024-8847Standard National Bank | I don't have access |
RC-06 |
LSE (London)98.2%RTS 28 | I don't have access |
RC-07 |
Compliance Scorecard£847K80% | I don't have access |
Displayed visual checkpoints
Only reviewed checkpoints count within their stated scope. A labeled PNG board can combine multiple actual views; it is not an old JPEG or a continuous walkthrough. Asset paths are included for traceability.
| Checkpoint | Mode | Visible evidence | Annotated asset |
|---|---|---|---|
easy-review-build |
easy | Regulatory Compliance Pilot; Draft; best-execution-analysis; executive-summary; trade-reporting-and-execution-surveillance; regulatory-correction-and-submission-preparation; trader-certification-readiness; aibast_fs-regulatory-compliance-synthetic-record; aibast_fs-regulatory-compliance-rules-and-contro | solutions/fs-regulatory-compliance/screenshots/assisted/annotated/01-review-build.png |
easy-rc-01 |
easy | 99.8%; Strategy #5 | solutions/fs-regulatory-compliance/screenshots/assisted/annotated/02-rc-01.png |
easy-rc-02 |
easy | No trader is lapsed; James Morrison | solutions/fs-regulatory-compliance/screenshots/assisted/annotated/03-rc-02.png |
easy-rc-03 |
easy | Venue ID mismatch; APX-2024-8847 | solutions/fs-regulatory-compliance/screenshots/assisted/annotated/04-rc-03.png |
easy-rc-04 |
easy | Strategy #5; Pre-trade testing | solutions/fs-regulatory-compliance/screenshots/assisted/annotated/05-rc-04.png |
easy-rc-05 |
easy | APX-2024-8847; Standard National Bank | solutions/fs-regulatory-compliance/screenshots/assisted/annotated/06-rc-05.png |
easy-rc-06 |
easy | LSE (London); 98.2%; RTS 28 | solutions/fs-regulatory-compliance/screenshots/assisted/annotated/07-rc-06.png |
easy-rc-07 |
easy | Compliance Scorecard; 80%; £847K | solutions/fs-regulatory-compliance/screenshots/assisted/annotated/08-rc-07.png |
easy-confirm-draft |
easy | Regulatory Compliance Pilot | solutions/fs-regulatory-compliance/screenshots/assisted/annotated/09-confirm-draft.png |
hard-step-01 |
hard | Untitled Agent | solutions/fs-regulatory-compliance/screenshots/manual/annotated/01-create-blank-agent.png |
hard-step-02 |
hard | Regulatory Compliance Manual | solutions/fs-regulatory-compliance/screenshots/manual/annotated/02-name-agent.png |
hard-step-03 |
hard | Regulatory Compliance Agent — Manual Global Inst | solutions/fs-regulatory-compliance/screenshots/manual/annotated/03-enter-instructions.png |
hard-step-04 |
hard | Draft | solutions/fs-regulatory-compliance/screenshots/manual/annotated/04-save-instructions.png |
hard-step-05 |
hard | Provide trusted context to guide decisions | solutions/fs-regulatory-compliance/screenshots/manual/annotated/05-remove-web-search.png |
hard-step-06 |
hard | aibast_fs-regulatory-compliance-rules-and-contro | solutions/fs-regulatory-compliance/screenshots/manual/annotated/06-add-aibast-fs-regulatory-compliance-rules-and-controls.png |
hard-step-07 |
hard | aibast_fs-regulatory-compliance-synthetic-record | solutions/fs-regulatory-compliance/screenshots/manual/annotated/07-add-aibast-fs-regulatory-compliance-synthetic-records.png |
hard-step-08 |
hard | best-execution-analysis | solutions/fs-regulatory-compliance/screenshots/manual/annotated/08-add-aibast-best-execution-analysis-06.png |
hard-step-09 |
hard | trader-certification-readiness | solutions/fs-regulatory-compliance/screenshots/manual/annotated/09-add-aibast-certification-tracker-05.png |
hard-step-10 |
hard | compliance-dashboard-and-audit-readiness | solutions/fs-regulatory-compliance/screenshots/manual/annotated/10-add-aibast-compliance-dashboard-01.png |
hard-step-11 |
hard | algorithm-documentation-and-go-live-review | solutions/fs-regulatory-compliance/screenshots/manual/annotated/11-add-aibast-documentation-review-03.png |
hard-step-12 |
hard | executive-summary | solutions/fs-regulatory-compliance/screenshots/manual/annotated/12-add-aibast-executive-summary-07.png |
hard-step-13 |
hard | regulatory-correction-and-submission-preparation | solutions/fs-regulatory-compliance/screenshots/manual/annotated/13-add-aibast-remediation-submission-04.png |
hard-step-14 |
hard | trade-reporting-and-execution-surveillance | solutions/fs-regulatory-compliance/screenshots/manual/annotated/14-add-aibast-trade-surveillance-02.png |
hard-step-15 |
hard | Claude Opus 5; trade-reporting-and-execution-surveillance; regulatory-correction-and-submission-preparation; executive-summary; algorithm-documentation-and-go-live-review; compliance-dashboard-and-audit-readiness; aibast_fs-regulatory-compliance-synthetic-record; aibast_fs-regulatory-compliance-rules-and-contro | solutions/fs-regulatory-compliance/screenshots/manual/annotated/15-review-inventory.png |
hard-step-16 |
hard | trade-reporting-and-execution-surveillance; regulatory-correction-and-submission-preparation; executive-summary; compliance-dashboard-and-audit-readiness; algorithm-documentation-and-go-live-review | solutions/fs-regulatory-compliance/screenshots/manual/annotated/16-review-skills.png |
hard-step-17 |
hard | executive-summary; algorithm-documentation-and-go-live-review; compliance-dashboard-and-audit-readiness; trader-certification-readiness; best-execution-analysis | solutions/fs-regulatory-compliance/screenshots/manual/annotated/17-review-skills-more.png |
hard-step-18 |
hard | Regulatory Compliance Manual | solutions/fs-regulatory-compliance/screenshots/manual/annotated/18-open-preview.png |
hard-rc-01 |
hard | 99.8%; Strategy #5 | solutions/fs-regulatory-compliance/screenshots/manual/annotated/19-rc-01.png |
hard-rc-02 |
hard | No trader is lapsed; James Morrison | solutions/fs-regulatory-compliance/screenshots/manual/annotated/20-rc-02.png |
hard-rc-03 |
hard | Venue ID mismatch; APX-2024-8847 | solutions/fs-regulatory-compliance/screenshots/manual/annotated/21-rc-03.png |
hard-rc-04 |
hard | Strategy #5; Pre-trade testing | solutions/fs-regulatory-compliance/screenshots/manual/annotated/22-rc-04.png |
hard-rc-05 |
hard | APX-2024-8847; Standard National Bank | solutions/fs-regulatory-compliance/screenshots/manual/annotated/23-rc-05.png |
hard-rc-06 |
hard | RTS 28; 98.2%; LSE (London) | solutions/fs-regulatory-compliance/screenshots/manual/annotated/24-rc-06.png |
hard-rc-07 |
hard | Compliance Scorecard; 80%; £847K | solutions/fs-regulatory-compliance/screenshots/manual/annotated/25-rc-07.png |
hard-step-26 |
hard | Regulatory Compliance Manual | solutions/fs-regulatory-compliance/screenshots/manual/annotated/26-confirm-draft.png |
Reference-only visual gaps
These checkpoints remain open or reference historical captures. No current image is implied by this table; review and reshoot requirements must be resolved before acceptance.
| Checkpoint | Mode | Source asset | Reason |
|---|