AI use policy, printed from a live configuration
RIAI prints a firm’s AI policy from the settings actually running, so the document and the system cannot drift apart. This sample is the demo installation’s — every name in it is invented.
Sample · Cascade Wealth Advisors, an invented firm · generated from the demonstration configuration, 2026-08-21
1 · What the system may read
The portfolio systemRead into the firm's database on a sync schedule. Every figure carries its as-of.
The CRMHouseholds, notes, tasks — read in; notes and tasks written back only on approval.
Microsoft 365Files, mail, calendar — read under the access of the person asking.
ScopeEach person's answers are built only from records that person may see; enforcement sits in the database request.
2 · Acts that wait for a person
Filing a documentWaits for sign-off. Setting: on, as shipped.
Attaching a document to a calendar eventWaits for sign-off. Setting: on, as shipped.
Outgoing mailDrafted by the system; approved by a person before it goes anywhere.
Licensed workMoving money, placing trades, advice of record, compliance sign-off: refused outright. No setting exists.
3 · Thresholds, and where each number came from
Concentration flag — 5% of a portfolio in one nameSuggested starting point, set by RIAI. The firm named the concern and has not yet set its own number.
Cash drag flag — 10% of a portfolio in cashSuggested starting point, set by RIAI.
Tax-loss floor — $1,000 minimum harvestable lossSuggested starting point, set by RIAI.
Every shipped value is labeled with its origin. Once the firm sets a number, the firm’s number wins, and this document prints the change.
4 · The record
What is recordedEvery act, every refusal, and every setting change — by person, by time, in order.
How it is protectedThe record can be added to and never edited; updates and deletes are refused at the database layer.
What an examiner getsA reconstruction of what happened, in what order, under which settings at the time.
5 · The model
ModelClaude, via the Anthropic API — a direct arrangement, under terms the firm can read.
TrainingThe traffic is not used to train models. The firm's records stay in the firm's database.
PauseOne control pauses the AI completely; the data, reports, checks, and checklists keep running.