AI Agents
AG-10Draft
Review AI-written communications with investors as securities rules require
How Leela would run itEvent-driven · before an AI-written retail communication is used, and for each AI chat reply to investors
Proposed stepsThe requirement
For broker-dealers and investment advisers, AI-written retail communications get a principal’s approval before use, AI chat replies to investors are supervised as correspondence, and both are kept under the books and records rules.
- Before this work
- Access to AI-written drafts and chat logs Named registered principals
- Applies
- Tell Leela about your company to see whether this applies.
- Status
- Setup needed
Tell Leela how you handle it today, or hand it over: see what’s next.
How Leela would run it · proposed steps
- LeelaGather AI-written drafts and chat replies for review, and keep the records.Proposed step
- Registered principalA registered principal approves each communication.Your team decides
What Leela keepsThe evidence this obligation leaves, as the work happens
Listed from the policy libraryContents
- 01Communications approvalsThe communication with the principal’s sign-off, and retained replies
Evidence
Communications approvals
AI Agents §3.10
1
of 1 record
The steps are the library’s proposed workflow for this obligation: a description of the work, not a run. The records are its evidence in the library.