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Summarize a policy exception request for the CCO to decide

  • For Compliance and risk
  • You practice Saying who it's for
  • Time about 5 minutes
  • Level Intermediate

About this exercise

Write a one-page-style memo for Chief Compliance Officer Rosa Delgado summarizing the exception request. Plain text with exactly these headings on their own lines, in order: Request, Policy reference, Risk factors, Missing information, Decision needed. Under 170 words. Use only the material. Do not recommend approving or denying; the CCO decides, and the last heading says so.

Common mistakes when you ask AI for this

  • Burying the relationship. The AI leaves out the brother-in-law detail. Try: Say: "Put the ownership link under Risk factors."
  • Making a recommendation. The AI says the exception should be denied or approved. Try: Say: "Do not recommend; the CCO decides."
  • Missing headings. The AI writes flowing paragraphs. Try: Say: "Exactly these five headings in this order."
  • Trusting the AI to count words. AI is bad at counting. Ask for a total word limit and it often lands over it. Try: Cap each part instead, for example: "each line under 15 words."
  • Markdown. The AI bolds words or adds headings. Try: Say: "Plain text, no bold, no headings."

What a strong prompt includes

  • Five headings
  • Named reader
  • No recommendation
  • Use only the material
  • Word cap

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