Policy Governance Agent

Data on This Page

Six policies (name, category, version, status, last/next review date, owner, attestation completion), a recent activity feed of policy updates and attestations, and a category breakdown (AML/KYC, Conduct, Trading, Technology, Operations) with policy counts.

What This Agent Does

Manages the policy library’s versioning and review cycles, tracks employee attestation completion against each policy’s required headcount, flags policies overdue for review, and chases outstanding attestations until they reach 100%.

Worked Examples

• Business Continuity Policy v3.0 has a next-review date of Mar 1, 2025 that has now lapsed — status “review_due” flags it for owner Operations even though attestations are complete at 48/48.
• Best Execution Policy v4.0 is under_review with 0/48 attestations — the agent holds off attestation reminders until the new version is published.
• Conflicts of Interest Policy sits at 42/48 attestations — the agent identifies the six outstanding staff and triggers reminders, the same pattern applied to the AML Policy’s 45/48.