AIMS Scope
Clause 4.3 scope: what the management system covers and deliberately excludes.
Clauses: 4.3
requirements (3)
Item 1
Item 2
Item 3
inclusions (2)
apa-systemAI Portfolio Assistant
The production assistant operating on the investment desktop across observe, analyse, explain, recommend and propose authority levels.
portfolio-assist-activityPortfolio assistance activity
Human-supervised sessions in which a portfolio manager uses the assistant to observe portfolio context, run deterministic analytics, explain results, recommend actions and construct order proposals for approval.
exclusions (3)
autonomous-executionAutonomous trade execution
Submitting or otherwise effecting orders without a human authorising execution is prohibited intended use. Excluding it keeps the AIMS aligned with the declared authority ceiling rather than governing a capability the organisation refuses to provide.
model-trainingFoundation model training and fine-tuning
The firm consumes a hosted foundation model; training and fine-tuning of that model are performed by the supplier and are assured through supplier governance rather than this AIMS's development lifecycle.
retail-banking-aiRetail banking AI products
Retail customer-facing AI is owned by a different business unit with a separate management system and different regulatory obligations.
interfaces (3)
model-supplier-interfacemodel-supplier-interface
Hosted foundation-model API used for generation and interpretation; version pinning, content filters and incident notification cross the organisational boundary.
market-data-interfacemarket-data-interface
Licensed market data consumed by deterministic specialist applications whose outputs the assistant explains; data quality and redistribution terms cross the AIMS boundary.
managed-kubernetes-hostmanaged-kubernetes-host
Managed Kubernetes platform hosting the assistant service. Host security controls are composed from CCC Managed Kubernetes (CCC.K8S.CN) as assumptions in the Statement of Applicability rather than re-authored in this AIMS. App-layer AI controls remain in apa-controls; FINOS AIGF mitigations are composed into the governance model via Gemara imports.