Implementation guide · Custom Customer Systems
A prospective client contacts the firm with a financial goal, transition, or concern and expects a credible response. The operating path must prepare the adviser with useful context while keeping suitability, advice, product discussion, and client acceptance with qualified people. This guide isolates how ai systems should behave at that moment rather than treating the entire operation as one automation project. Select and govern one AI-assisted job by defining its knowledge, permissions, records, actions, exceptions, supervision, and measurable completion state. For this financial planning and advisory firm, the job must use the practice or firm's approved language, records, ownership, and professional boundaries.
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Select and govern one AI-assisted job by defining its knowledge, permissions, records, actions, exceptions, supervision, and measurable completion state. For this financial planning and advisory firm, the job must use the practice or firm's approved language, records, ownership, and professional boundaries. Advisers and authorized firm staff retain financial judgment, suitability, advice, recommendations, disclosures, scope, and client acceptance. The configured system may prepare and coordinate the conversation but must not act as an adviser or decide what is appropriate.
Run one de-identified or synthetic prospective-advisory inquiry through the configured path and verify that the agent completes the bounded ordinary job, declines prohibited actions, escalates uncertainty, records the result, and can be stopped by its owner. Record the expected state, actual state, exception owner, and corrective action before release. Do not release or continue the automated path when the prospect asks for advice, a recommendation, suitability judgment, account action, disclosure interpretation, or an unapproved sensitive-data exchange, or when the job is broad, success is subjective, permissions exceed need, or no person can review decisions and disable the system. Preserve the record and route the case to the named human owner.
Trace one recent prospect from first inquiry through adviser preparation, consultation, permissioned follow-up, and a recorded disposition. For AI Agents, also review the test set, tool calls, refusals, escalations, saved records, evaluator decisions, incidents, and shutdown procedure. This is an implementation control, not a performance claim. Validate it with the business's own recent records, approved policies, synthetic or de-identified test cases, and named human reviewers before release.
Implementation control sheet
Select and govern one AI-assisted job by defining its knowledge, permissions, records, actions, exceptions, supervision, and measurable completion state. For this financial planning and advisory firm, the job must use the practice or firm's approved language, records, ownership, and professional boundaries.
| Control | Release requirement |
|---|---|
| Required operating inputs |
|
| Release acceptance test | Run one de-identified or synthetic prospective-advisory inquiry through the configured path and verify that the agent completes the bounded ordinary job, declines prohibited actions, escalates uncertainty, records the result, and can be stopped by its owner. Record the expected state, actual state, exception owner, and corrective action before release. |
| Stop condition | Do not release or continue the automated path when the prospect asks for advice, a recommendation, suitability judgment, account action, disclosure interpretation, or an unapproved sensitive-data exchange, or when the job is broad, success is subjective, permissions exceed need, or no person can review decisions and disable the system. Preserve the record and route the case to the named human owner. |
| Human boundary | Advisers and authorized firm staff retain financial judgment, suitability, advice, recommendations, disclosures, scope, and client acceptance. The configured system may prepare and coordinate the conversation but must not act as an adviser or decide what is appropriate. |
Approved prospect questions, disclosure language, communication permissions, and adviser-escalation rules The CRM record and accountable adviser or staff owner for every next step Bounded job, approved knowledge, tool permissions, identity disclosure, and prohibited actions Test set, evaluator, escalation owner, monitoring, incident response, and shutdown control
Advisers and authorized firm staff retain financial judgment, suitability, advice, recommendations, disclosures, scope, and client acceptance. The configured system may prepare and coordinate the conversation but must not act as an adviser or decide what is appropriate.
Run one de-identified or synthetic prospective-advisory inquiry through the configured path and verify that the agent completes the bounded ordinary job, declines prohibited actions, escalates uncertainty, records the result, and can be stopped by its owner. Record the expected state, actual state, exception owner, and corrective action before release. This is an implementation control, not a performance claim. Validate it with the business's own recent records, approved policies, synthetic or de-identified test cases, and named human reviewers before release.