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Walkthrough · Capital markets

Follow one alert, from a trade to a decision compliance can defend

A client buys shares two days before a takeover is announced. Here is how the capital markets pack and the compliance team handle it. All names and data are fictional.

Kestrel Markets, a fictional firmAnalyst, head of compliance, researchFive days

Step by step

  1. 01 · Day 1 · Alert

    Trading before news.

    Harlow Minerals announces a takeover. The pack looks back and finds a client who bought two days before.

    AI: scored the trades high and opened alert AL-5531.

    Assigned to Lena Hartmann, surveillance analyst

  2. 02 · Day 1 · Links

    The AI links a call to the trade.

    The pack reads the client's calls and chats around the trade. A call the day before contains a sentence that matters.

    AI: searched 14 calls and 22 chats and linked one call and two chats.

    For review by Lena Hartmann

  3. 03 · Day 2 · Review

    The analyst builds the case.

    Lena listens to the call, checks the adviser's access to deal information, and writes her assessment.

    AI: showed the adviser was on the insider list for the deal.Lena Hartmann: wrote the assessment and escalated it.

    Reviewed by Lena Hartmann, surveillance analyst

  4. 04 · Day 2 · Wall

    The wall held for research.

    Compliance checks whether the research team saw anything. The wall around the deal blocked one search from sales, and nothing reached research.

    AI: listed every attempt to reach the deal file.

    Checked by compliance

  5. 05 · Day 3 · Decision

    Compliance decides to report.

    Paul Okafor reviews the case and decides it is suspicious. The decision and his reason are recorded.

    Paul Okafor: decided the order was suspicious and must be reported.

    Decided by Paul Okafor, head of compliance

  6. 06 · Day 5 · Report

    The report is filed and the record sealed.

    The pack drafts the suspicious order report from the case file. Paul checks it and files it with the regulator.

    AI: drafted the report and sealed the record.Paul Okafor: checked and filed the report.

    Sealed at 10:16 · checkable with the open verifier

The record at the end

What the firm knew, and when.

The alert, the linked call, the analyst's review, the wall check, the decision and the filed report are in one sealed record.

Change one word of a sealed record and the check fails. Try the seal check →

record CASE-2026-0219 alert AL-5531 · trading before news linked 3 orders · 1 call · 2 chats reviewed Lena Hartmann, surveillance analyst decided Suspicious · report to the regulator by Paul Okafor, head of compliance report STOR filed 7 Oct, 10:15 time 2026-10-07 10:16:44 UTC
Sealed 10:16:44 · timestamp witnessed outside Kestrel Markets
Who did what

The AI found and linked. Compliance decided.

Here is the split, step by step.

What the AI did

  • Found trading before the news and opened an alert
  • Searched calls and chats and linked the ones that mattered
  • Showed the adviser was on the insider list
  • Listed every attempt to cross the wall
  • Drafted the suspicious order report
  • Sealed the record

What people decided

  • Lena Hartmann listened to the call and wrote the assessment
  • Paul Okafor decided the order was suspicious
  • Paul Okafor checked and filed the report
Keep going

Keep going

Domain packThe capital markets pack

Everything in the pack, the rules it maps and where it runs.

GovernanceRouted, checked, counted, sealed

How every AI call in Nexus is governed.

CollaborationCalls, chat and notebooks

Where the work happens, with walls that hold.

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