Tool Resource Register

Annex A.4.4 tooling: FDC3 apps, foundation model API, and session logging.

ToolResourceRegisterISO/IEC 42001:2023v0.2.0draft

Tooling and services the AI Portfolio Assistant depends on: FDC3 portfolio, risk, research and order-entry applications, stress engine, foundation model API and session logging.

Clauses: A.4.2A.4.4A.4.5A.4.6

resources (8)

fdc3-portfolio-appFDC3 portfolio application

Desktop portfolio application exposing holdings context and intents via FDC3 for entitled portfolio managers.

Kind

Tooling

risk-exposure-appRisk and exposure application

Deterministic Risk app responding to demo.GetPortfolioRisk with demo.portfolioRisk; the assistant interprets results rather than inventing them.

Kind

Tooling

stress-engineStress scenario engine

Deterministic stress capability (via Risk app) responding to demo.RunStressScenario with demo.stressScenarioResult.

Kind

Tooling

research-retrievalInvestment research retrieval service

Research app / retrieval service responding to demo.GetResearch with demo.researchBundle used for RAG grounding and explanation evidence.

Kind

Service

order-entry-appOrder Entry application

Desktop Order Entry app that responds to demo.CreateOrderProposal with demo.orderProposal for human review, and that would receive demo.SubmitOrders if execution were permitted (it is not for the assistant).

Kind

Tooling

execution-appExecution / blotter application

Execution path that would process fdc3.orderList via demo.SubmitOrders. The assistant must not successfully invoke this path; human-authorised execution remains outside autonomous AI use.

Kind

Tooling

foundation-model-apiFoundation model API

Hosted foundation model used for generation and interpretation within authority-bounded sessions.

Kind

Model

session-loggerSession logger

Records authority level, tool calls, retrievals, model version and human approval decisions for audit and incident investigation.

Kind

Tooling