Compliance Training World · Industry Quest

Capital Markets Compliance Quest

FCA / ESMA + EU AI Act Art 6. AI in market-facing analytics and trading. Spot the perimeter / reporting issues. quest: training_quest:equity

Grade each case (deterministic predicate).

Case 1

A market-facing AI research signal used in client communication.

CompliantViolation

Case 2

An AI-driven execution algorithm with no surveillance/audit trail.

CompliantViolation

Case 3

A signed data feed provenance line for the model's inputs.

CompliantViolation

Case 4

An investment-rating-style AI output presented as a rating.

CompliantViolation

Council of AI · csoai.org · signed · measured · on pass you receive a signed training attestation