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Triage conflict disclosures against the policy triggers

  • For Compliance and risk
  • You practice Keeping the AI to your sources
  • Time about 5 minutes
  • Level Intermediate

About this exercise

Compare each disclosure in the log to the three triggers in the policy. Write one numbered line for each disclosure that matches a trigger, in log order, formatted like "1. Name - trigger in your own words - question for the CCO". Then a last line starting "No trigger:" with the names of the others and the words CCO to confirm. Plain text. Never say anyone has or does not have a conflict.

Common mistakes when you ask AI for this

  • Over-flagging. The AI flags the fund holder or the 0.5% holder. Try: Say: "Apply the thresholds and exclusions in the policy."
  • Missing trigger wording. The AI writes 'conflict' instead of the trigger. Try: Say: "State which trigger matched, in your own words."
  • Declaring conflicts. The AI says someone has a conflict of interest. Try: Say: "Never say anyone has or does not have a conflict. End with No trigger: ... CCO to confirm."
  • Wrong number of items. The AI adds extra items or drops the numbering. Try: Say: "Exactly N numbered lines, formatted like 1. ..."
  • Markdown. The AI bolds words or adds headings. Try: Say: "Plain text, no bold, no headings."

What a strong prompt includes

  • Numbered lines
  • Apply exclusions
  • Own words
  • No trigger line
  • No conflict verdict

Practice this now ↑

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