Skip to content
ARCHYTASAI

TASK-FIN-104-01 · Task family

Investment mandate interpretation. Policy extraction, exception handling and restriction reasoning.

Custom buildenvironment · ENV-FIN-104 Portfolio Risk & Mandaterole · Investment Compliance Officer

Overview. Decide which proposed trades the mandate permits, citing the rule behind each decision.

The agent turns mandate language into restrictions and applies them to proposed trades. Some rules interact: a single-issuer limit and an aggregate limit on large holdings can both apply to one purchase.

A trade can be within one limit and break another. The agent has to check every rule, not the most obvious one.

Value to the buyer

Mandate rules interact. Trains agents to test every applicable rule before approving a trade.

Specification. The task family, field by field.

spec · task/task-fin-104-01.yamlENV-FIN-104
task_id:
TASK-FIN-104-01
domain:
Portfolio Management & Investment Compliance
parent_environment:
ENV-FIN-104 · Portfolio Risk & Mandate
target_role:
Investment Compliance Officer
objective:
Decide which proposed trades the mandate permits, citing the rule behind each decision.
starting_context:
The fund's mandate, current holdings by issuer and a list of proposed purchases.
tools:
  • get_investment_mandate
  • get_positions
  • calculate_exposures
  • check_pretrade_compliance
required_actions:
  • Extract the issuer concentration rules
  • Compute current issuer weights and the aggregate above 5%
  • Test each proposed trade against every rule
  • Suggest the largest compliant size where a trade fails
expected_outputs:
  • A decision per proposed trade, with the rule cited
  • Compliant alternatives
interaction:
Single agent with tool access.
verification:
Each decision is recomputed from holdings and the mandate's rules.
reward:
Approving a non-compliant trade scores zero. Credit per correct decision and cited rule.
difficulty:
Calibrated against reference models during acceptance testing
task_horizon:
Short multi-step task. Execution limits are agreed with the buyer.
delivery:
Task instances with seeded mandates and holdings, reference decisions and verifier code.
commercial_unit:
Per validated task instance

Sample prompt. What the agent is asked to do, as a buyer would see it.

prompt · task-fin-104-01Example
The Aster Capital European Equity Fund's mandate follows a 5/10/40 rule: no more than 10% of assets in one issuer, and holdings above 5% may not total more than 40%. Five issuers are currently above 5%: 9.0%, 8.5%, 7.0%, 6.5% and 6.0%. The PM proposes raising Issuer F from 4.0% to 5.5%. Decide whether the trade is permitted, and if not, what is.

Verification criteria. What the verifier checks, and how.

  • Aggregate computed

    Holdings above 5% total 37.0%.

  • Single-issuer limit

    5.5% is within the 10% limit.

  • Aggregate limit

    Issuer F at 5.5% joins the group, taking it to 42.5%, above 40%: not permitted.

  • Compliant alternative

    Raising F to 5.0% keeps it out of the group and is permitted.

  • Rule cited

    The decision cites the mandate clause.

Key failure modes. Where agents go wrong on this task.

  • Checking only the 10% single-issuer limit
  • Treating exactly 5.0% as above 5%
  • Rejecting the trade without a compliant alternative

Other task families. The rest of Portfolio Risk & Mandate, on the same FinanceWorld state.

Every environment is built to order. Tell us which workflow you need to train or evaluate, and where you are in the process.

Request sample tasksDiscuss custom developmentRequest technical integration detailsSee ways to buy