Incident Log
Annex A.8.4 incident record for the unauthorized order-proposal near miss.
IncidentLogISO/IEC 42001:2023v0.1.0draft
Operational AI incidents for the Portfolio Assistant, including the
propose-without-approval near miss.
Clauses: A.8.4
entries (1)
inc-propose-without-approvalNear miss — assistant constructed order proposal without approval gate
During a propose-level session the assistant constructed a structured order proposal that was presented as ready for trading-desk handoff without the human approval gate enforcing acknowledgement. The portfolio manager did not approve; no order was submitted. Detected via session-logger alert when proposal_ready was emitted without approval_recorded.