AssureDocket PILOT

Design-partner release · Broker-dealer correspondence

Every AIdecision,on the record.

AssureDocket is the evidence and supervision checkpoint between an AI drafting tool and your existing client-communication workflow.

Plan a shadow pilot See a decision run

Review-only. Non-executing. Configured to your firm’s written supervisory procedures.

DECISION DOCKET AD-7F29-A1C4
REVIEW
Tenantnorthstar-bd
Policycorrespondence / 0.2
TriggerRecommendation language
EvidenceSigned · complete · 0.92
Next actionAccountable human review
SHA-256 e640c8…b42a VERIFIED
Signed evidence ingress Immutable policy versions Human decision trail Archive reconciliation
01 / THE GAP

The drafting tool is not the control

AI can help write the message. Your firm still owns the supervision.

AssureDocket creates a narrow, inspectable checkpoint for AI-assisted client correspondence. It verifies what the firm knows, applies the exact approved policy version, and makes uncertainty somebody’s explicit decision.

Read FINRA’s 2026 GenAI report ↗
WITHOUT A CHECKPOINT
  • Evidence is scattered across tools
  • Policy changes are hard to reconstruct
  • Low-confidence outputs look complete
  • Review rationale lives in side channels
WITH ASSUREDOCKET
  • Signed, tenant-bound evidence
  • Source-derived policy fingerprints
  • Missing or conflicting evidence escalates
  • Reviewer, rationale, time, and export link
02 / THE SYSTEM

One controlled route

From draft evidence
to defensible record.

AssureDocket does not replace your drafting assistant, send workflow, or designated archive. It connects the decisions between them.

  1. 01
    ⌁

    Verify evidence

    A local connector signs policy-relevant features, provenance, content hash, and archive reference. Replays and stale requests are rejected.

    SIGNATURE · NONCE · TENANT
  2. 02
    ⎔

    Apply firm policy

    An approved, immutable policy bundle evaluates configured risk. The decision pins the exact definition hash used.

    POLICY / 0.2 · SHA-256
  3. 03
    ◎

    Route uncertainty

    Risk, missing evidence, conflicts, or weak reliability move the draft into an accountable human review queue.

    ALLOW · REVIEW · DENY
  4. 04
    ↗

    Export the record

    The final docket records identity, rationale, hashes, and delivery acknowledgement for reconciliation with the firm’s archive.

    ARTIFACT · ACK · RECONCILE
03 / DECISION LAB

Touch the control

One policy. Four very different outcomes.

These scenarios mirror the deterministic pilot evaluation pack. Select one to inspect the routing logic—no client content leaves your browser.

POLICY RESULT ALLOW

Complete high-confidence evidence reports no configured risk.

SIGNALS
    REASON

    All required evidence is present, consistent, and above the configured reliability threshold.

    Signed envelope verified Continue in firm workflow
    12 / 12seeded cases passed
    100%critical-case recall
    35 / 35automated tests passed
    0execution actions permitted

    Local deterministic pilot results—not production or regulatory validation.

    04 / GO TO MARKET

    Start in shadow mode

    Earn the right
    to become a gate.

    The first commercial milestone is not broad automation. It is proving one bounded correspondence workflow with two design partners and evidence both teams can inspect.

    DAYS 01–15

    Confirm the pain

    Map the firm’s current AI drafting, review, WSP, evidence, and archive handoff. Define the exact policy triggers and pilot dataset.

    Gate: 2 design partners
    DAYS 16–30

    Fit the control

    Configure tenant policy, signed connector, identities, and one customer-specific archive adapter. Validate seeded cases together.

    Gate: security + workflow sign-off
    DAYS 31–60

    Run the shadow

    Score 500–1,000 synthetic, de-identified, or customer-controlled messages without changing the firm’s send behavior.

    Gate: recall + reviewer agreement
    DAYS 61–90

    Decide together

    Reconcile every decision, tune false escalation, quantify review effort, and agree whether any narrow trigger is ready to gate.

    Gate: paid pilot decision
    05 / PILOT BUILDER

    Make it concrete

    Build your shadow-pilot brief.

    Size a first validation run and download a discussion brief. The calculator is illustrative, stays in this browser, and does not promise savings or compliance.

    No data sent · No account required
    Suggested sample 1,000 messages
    Estimated shadow window 3 weeks
    Current review baseline 150 hours / month

    For planning only. Final scope and thresholds require the firm’s compliance, security, and records stakeholders.

    06 / TRUST BOUNDARIES

    Precisely what it is

    Narrow by design.
    Honest by default.

    +

    AssureDocket does

    • Verify signed policy evidence
    • Pin decisions to policy versions
    • Route configured risk and uncertainty
    • Record accountable human disposition
    • Export and reconcile a decision ledger
    ×

    AssureDocket does not

    • Send client communications
    • Recommend securities
    • Place trades or transfer funds
    • Replace the firm’s designated archive
    • Guarantee regulatory compliance

    The next milestone is a real workflow

    Put one AI-assisted
    decision path on the record.

    Request a design-partner pilot ↗

    Working product · bounded pilot · evidence before expansion