AI Portfolio Assistant Lexicon
Controlled vocabulary shared by every APA Gemara component.
Terms
fdc3Financial Desktop Connectivity and Collaboration Consortium
An open standard for interoperability between financial desktop applications, enabling context sharing and intents so applications can work together without custom point-to-point integrations.
portfolio-assistantAI Portfolio Assistant
An AI system that assists portfolio managers across FDC3-enabled applications by observing portfolio context, invoking deterministic tools, interpreting results, and optionally recommending or proposing actions within an authorized authority level.
observeObserve
The lowest authority level. The assistant may read portfolio context, market data, and application state exposed through FDC3 or approved tools, but must not analyse, explain, recommend, propose, or execute.
analyseAnalyse
An authority level allowing the assistant to invoke deterministic applications and tools to compute exposures, stress scenarios, and related analytics, without producing natural-language explanations or recommendations for the portfolio manager.
explainExplain
An authority level allowing the assistant to interpret and explain results from deterministic applications and retrieved research to help the portfolio manager understand positions and risks.
recommendRecommend
An authority level allowing the assistant to suggest courses of action to the portfolio manager, such as reducing a position or reviewing a risk concentration, without constructing or submitting orders.
proposePropose
An authority level allowing the assistant to construct a proposed set of orders or portfolio changes for human review. Human approval is required before any proposal may proceed toward execution.
executeExecute
The highest authority level on the ladder. Submitting or otherwise effecting orders or portfolio changes. Autonomous AI execution is prohibited in this example; only a human may authorize execution.
human-in-the-loopHuman in the Loop
A governance pattern requiring a qualified human, typically a portfolio manager, to review and approve consequential AI outputs before they take effect, especially at the propose level and for any path toward execution.
deterministic-applicationDeterministic Application
An FDC3 or internal application that performs portfolio, risk, or market calculations using fixed algorithms and verified data sources. The AI interprets outputs from these applications rather than inventing numerical results itself.
investment-researchInvestment Research
Internally or externally authored research material retrieved for context when explaining positions or risks. Research may contain adversarial or misleading content and must be treated as untrusted input to the assistant.
stress-scenarioStress Scenario
A deterministic calculation of portfolio impact under adverse market or credit conditions, produced by specialist risk applications and optionally explained by the assistant.
order-proposalOrder Proposal
A structured set of candidate orders or portfolio changes constructed by the assistant at the propose authority level for human review. An order proposal is not an executed trade.
portfolio-managerPortfolio Manager
The human user of the AI Portfolio Assistant who retains accountability for investment decisions, approval of proposals, and any execution of orders.
intended-useIntended Use
The declared purpose and operating envelope of the AI Portfolio Assistant: assisting portfolio managers with observation, analysis, explanation, and controlled recommendation or proposal across FDC3 applications, without autonomous trade execution.
demo-get-portfolio-riskdemo.GetPortfolioRisk
Analyse-authority FDC3 intent raised by the assistant with an fdc3.portfolio context. The Risk app responds with demo.portfolioRisk.
demo-get-researchdemo.GetResearch
Explain-authority FDC3 intent raised by the assistant with instrument, instrumentList, or portfolio context. The Research app responds with demo.researchBundle.
demo-run-stress-scenariodemo.RunStressScenario
Analyse-authority FDC3 intent raised by the assistant with a demo.stressScenarioRequest. The Risk app responds with demo.stressScenarioResult.
demo-create-order-proposaldemo.CreateOrderProposal
Propose-authority FDC3 intent raised by the assistant with a demo.portfolioRecommendation. Order Entry responds with demo.orderProposal for human review.
demo-submit-ordersdemo.SubmitOrders
Execute-authority FDC3 intent raised with an fdc3.orderList. Governance must prevent the AI Portfolio Assistant from successfully exercising this intent.
demo-portfolio-riskdemo.portfolioRisk
Structured risk analysis context returned by demo.GetPortfolioRisk, including concentration, exposures, major contributors, and provenance identifying the portfolio and analysis. Must carry an FDC3 Security signature when broadcast.
demo-research-bundledemo.researchBundle
Structured research findings and source references returned by demo.GetResearch, including provenance and timestamps. Must carry an FDC3 Security signature when broadcast.
demo-stress-scenario-requestdemo.stressScenarioRequest
Request context identifying a portfolio and the hypothetical market changes to apply when raising demo.RunStressScenario.
demo-stress-scenario-resultdemo.stressScenarioResult
Calculated stress outcome returned by demo.RunStressScenario. Must carry an FDC3 Security signature when broadcast.
demo-portfolio-recommendationdemo.portfolioRecommendation
Assistant-produced recommendation describing proposed portfolio changes, rationale, and supporting evidence. Input to demo.CreateOrderProposal. Must carry an FDC3 Security signature when broadcast.
demo-order-proposaldemo.orderProposal
Draft order basket returned by demo.CreateOrderProposal for human review before becoming an fdc3.orderList. Must carry an FDC3 Security signature when broadcast.
fdc3-securityFDC3 Security
FDC3 mechanism for attaching cryptographic signatures to context broadcasts so receivers can verify provenance. Required for demo suite contexts that convey risk results, research, recommendations, and order proposals.