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ai_complaints_recorded

investment-services auditability pure_temporal ai-governancemifid-iiesmarecordkeepingrag-amber

Firms maintain comprehensive records on AI-related client and potential-client complaints.

Formula

G(complaint → recorded)

Why it matters

ESMA ¶23: ESMA expects firms to maintain comprehensive records on AI utilisation and on any related clients' and potential clients' complaints.

Examples

passes see rationale

fails the required control/record is absent

Use it

ponens policies add ai_complaints_recorded --into ./trace.json
ponens trace check ./trace.json