Party Register
People and organisations with a stake in the assistant — users, clients, compliance, suppliers, and the regulator.
PartyRegisterISO/IEC 42001:2023v0.1.0draft
People and organisations with a stake in the AI Portfolio Assistant: those
who place requirements on it, those accountable for it, and those who bear
the consequences of its recommendations and proposals.
Clauses: 4.25.15.3A.3.2A.5.4
parties (9)
cio-top-managementChief Information Officer
ai-governance-officeAI Governance Office
portfolio-managersPortfolio managers
Users of the assistant who retain accountability for investment decisions, approval of order proposals, and any execution of orders.
clientsInvestment clients
Beneficial owners of portfolios the assistant observes and may influence through recommendations or proposals. Affected parties reached through client reporting and complaints routes, not through this register directly.
complianceCompliance
model-riskModel Risk Management
foundation-model-providerFoundation model provider
Supplies the hosted foundation model. Responsible for the model's own development governance, not for how the firm deploys it on the desk.
market-data-vendorMarket data vendor
Licenses market data consumed by deterministic specialist applications whose outputs the assistant explains.