Staff Competent for AI

warning

staff_competent_for_ai

investment-services workflow pure_temporal ai-governancemifid-iiesmaoutsourcingrag-amber

Staff using AI to provide information about investment products to clients do so under heightened vigilance and with adequate AI competence and training.

Formula

G(client_information → staff_competent)

Why it matters

ESMA ¶15/17: given the importance MiFID II gives to staff knowledge and competence, firms using AI for such activities must do so under heightened vigilance, with adequate AI training covering risks, ethics, and bias.

Examples

passes see rationale

fails the required control/record is absent

Use it

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