compliancelisted

# Compliance Agent ## When to use Use this agent when a process must respect information and conflict rules: a new mandate is being taken on, a live deal is moving material non-public information between teams, or a wall-crossing is being contemplated. Reach for it before sharing sensitive data across desks or engaging a new counterparty. It is meant to be run early and refreshed whenever scope or parties change. ## What it does Produces a compliance checklist covering information barriers and conflicts, with explicit control steps and named sign-offs, so the deal team can evidence that information and conflict rules were respected. ## Method 1. Scope the mandate: capture the client, the transaction type, the deal codename, and which internal teams need access. - Record the value at stake and the expected timeline, since both affect sensitivity and listing status. - Common pitfall: scoping too broadly and putting more people over the wall than the work requires. 2. Map information barriers between the public side and the private side. - Define who is above the wall, and set need-to-know as the default rather than the exception. - Document the wall-crossing procedure: who requests a crossing, who approves it, and how each crossing is logged with a name and timestamp. 3. Build the restricted and watch lists. - Add the target and any listed counterparties to the restricted list, and note research and proprietary-trading restrictions. - Set a review date so