- Evidence is scattered across tools
- Policy changes are hard to reconstruct
- Low-confidence outputs look complete
- Review rationale lives in side channels
Design-partner release · Broker-dealer correspondence
Supervisoryevidence forAI-assisted finance.
AssureDocket is a review-only evidence checkpoint for AI-assisted broker-dealer correspondence—connecting policy, evidence, accountable review, and the firm’s existing archive.
Review-only. Non-executing. Configured to your firm’s written supervisory procedures.
DECISION DOCKET
AD-7F29-A1C4
REVIEW
Tenant
northstar-bdPolicy
correspondence / 0.2TriggerRecommendation language
EvidenceSigned · complete · 0.92
Next actionAccountable human review
SHA-256
e640c8…b42a
VERIFIED
01 / THE GAP
The drafting tool is not the control
As AI enters client correspondence, supervisory accountability remains with the firm.
Firms need a reliable way to connect each AI-assisted draft to its source evidence, the policy version applied, and the reviewer’s disposition. AssureDocket makes that decision path inspectable while leaving the firm’s existing send and archive systems in place.
Read FINRA’s 2026 GenAI report ↗- 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 AI-assisted draft
to reviewable record.
AssureDocket does not replace your drafting assistant, send workflow, or designated archive. It connects the decisions between them.
-
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 -
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 -
03
Route uncertainty
Risk, missing evidence, conflicts, or weak reliability move the draft into an accountable human review queue.
ALLOW · REVIEW · DENY -
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.
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
Establish reliability
before adding control.
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.
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 partnersFit the control
Configure tenant policy, signed connector, identities, and one customer-specific archive adapter. Validate seeded cases together.
Gate: security + workflow sign-offRun the shadow
Score 500–1,000 synthetic, de-identified, or customer-controlled messages without changing the firm’s send behavior.
Gate: recall + reviewer agreementDecide together
Reconcile every decision, tune false escalation, quantify review effort, and agree whether any narrow trigger is ready to gate.
Gate: paid pilot decision05 / MARKET THESIS & FOUNDER
The investment thesis
The control layer around AI in finance is still being built.
As AI moves into regulated financial workflows, firms need a defensible record of the evidence, policy, model context, and human judgment behind each outcome. AssureDocket’s working thesis: that supervisory evidence layer can become durable financial software infrastructure.
AI use raises the bar for supervision.
FINRA’s 2026 guidance discusses testing, ongoing monitoring, output records, and model-version tracking as firms evaluate GenAI use.
Start with broker-dealer correspondence.
One bounded workflow connects each AI-assisted draft to its evidence, applicable policy, reviewer rationale, and archive record.
Reuse the evidence layer across workflows.
If design partners validate the need, the same primitives could support adjacent supervised communications and financial operations.
a16z has publicly written about AI in banking and invested in financial infrastructure. Those are category signals only; they do not indicate interest in or endorsement of AssureDocket.
FINRA: 2026 GenAI supervisory guidance ↗
a16z: AI and banking ↗
a16z: financial infrastructure investment, May 2026 ↗
Opportunity framing only. Market size, willingness to pay, and adoption remain to be validated through customer discovery and design-partner pilots.
06 / CONCEPT FILM
AssureDocket × Supersharp · 53 seconds
The decision record, in motion.
A short visual overview of how evidence, policy, and human review could connect AI systems to accountable financial workflows.
Illustrative concept film: the screens, trust ratings, and market percentages are not measured results or investment terms. AssureDocket's current pilot is review-only.
Subtitles are visible in the video. Use the player controls to pause or replay it.
Download the subtitled MP407 / 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
08 / 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
09 / ENTERPRISE PARTNERS
FOUNDING PARTNER INVITATIONS
CentennialBuilt for the stakes ahead.
For large organizations shaping verifiable AI systems and stronger security operations. Request an invitation to help define a scoped premium program with AssureDocket and Supersharp.
Authorized security testing
Planned penetration tests with written scope, rules of engagement, findings, and remediation checks. Testing begins only under a separate agreement.
Exposure intelligence
Planned use of licensed threat sources to flag exposed credentials, brand impersonation, and relevant indicators for human verification.
AI-assisted triage
A proposed read-only assistant that groups approved alerts and prepares evidence-backed cases. People approve consequential response actions.
SELECTIVE · PARTNER-LED · EARLY ACCESS
Help shape the first enterprise release.
Share your role and area of interest. We will review requests personally and discuss fit, scope, and security requirements before proposing a pilot.
An invitation request does not start monitoring, penetration testing, or a paid service. No security outcome or certification is guaranteed.
Validate one workflow before expanding scope
Establish an auditable record for one AI-assisted workflow.
Request a design-partner pilot ↗Working product · bounded pilot · evidence before expansion