NeuroTraderInstitutional
Governance · Approval Workflow

Approval Workflow

The sequence a decision must clear, and who carries the authority at each step
DEMO DATAHuman-in-the-loop
What changed

The rebalance package has cleared research, advisor and compliance review and is now with the CIO ahead of committee approval.

Why it matters

Approval authority is bounded by role and notional, so a package cannot skip the stage that carries the mandate.

Watch / decide

One package awaits committee scheduling; the other two can be settled within advisor and compliance authority.

Package confidence 91%

Approval steps

  1. 1AI Research CompleteClear
    AI Rebalancing Research
  2. 2Advisor ReviewClear
    J. Halloran · Advisor
  3. 3Compliance Review1 here
    S. Okafor · Compliance
  4. 4Client / CIO Review1 here
    M. Aurelius · CIO
  5. 5Investment Committee ApprovalClear
    Investment Committee
  6. 6Approved for External ExecutionClear
    External broker / custodian
  7. 7ArchivedClear
    System of record
Acting as
CIO
UI-only role mode
Stages in this pipeline
7
Research through archive
Cleared for release
0
Awaiting external execution
Externally executed
0
Confirmed back by the broker
Changing role changes which approval actions are offered — no permissions backend is implemented

Role Mode

Authority

Full decision authority within mandate. May approve packages up to the committee threshold.

Actions available
approvemodifydeferreject

Owns stage: Client / CIO Review

Where each open decision currently sits · select a row to act on it

Pipeline Position

2 decisions tracked
DecisionAI Research CompleteAdvisor ReviewCompliance ReviewClient / CIO ReviewInvestment Committee ApprovalApproved for External ExecutionArchived
What each stage must establish before a decision may advance

Stages & Requirements

01AI Research CompletePackage assembled with thesis, evidence, do-nothing comparison and data health above 95%.AI Rebalancing Research
02Advisor ReviewClient circumstances, liquidity needs and stated preferences reconciled with the package.J. Halloran · Advisor
03Compliance ReviewMandate, restricted list and approval thresholds confirmed against every leg.S. Okafor · ComplianceOpen here
04Client / CIO ReviewInvestment judgment applied to the recommendation, alternatives and the case for holding.M. Aurelius · CIOOpen here
05Investment Committee ApprovalRequired where a package exceeds $5.0M notional or resolves an open policy breach.Investment Committee
06Approved for External ExecutionInstruction released to the executing party. NeuroTrader does not place or route orders.External broker / custodian
07ArchivedDecision, rationale and evidence sealed into the audit trail.System of record
The seven states a decision can hold

Status Tracking

DraftResearch assembled, not yet released for review.0
Under reviewIn the hands of a named human reviewer.2
DeferredHeld with a recorded rationale and a revisit date.0
RejectedDeclined with a recorded rationale. Retained in the record.0
ApprovedCleared for external execution by the mandated authority.0
Externally executedExecuted by the external broker or custodian and confirmed back to this record.0
ArchivedClosed. Immutable in the audit trail.0
Released, not executed

External Execution

No decision is currently cleared for release. Approved items appear here so the external broker or custodian confirmation can be recorded against them.

NeuroTrader produces research and records decisions. It does not place, route or settle transactions. An approved decision is released to the client's external broker or custodian, and execution is confirmed back into this record by that party.

Every role change, approval, deferral and rejection recorded in sequence

Audit Events

  1. Oct 5 · 3:05 PM ET
    Advisor review cleared on the rebalance package — client liquidity needs unchanged.
    J. Halloran · Advisor
  2. Oct 5 · 1:30 PM ET
    Compliance review opened on digital-asset alignment; cure period noted as day 23.
    S. Okafor · Compliance
  3. Oct 5 · 12:40 PM ET
    Research package published at 91% confidence and released for human review.
    AI Rebalancing Research