AGI.do

Services

What will AGI do for Regulation of securities markets?

This subclass comprises services provided by central banks, other government agencies, and self-regulatory bodies (such as stock exchanges) to regulate securities markets and the participants in securities markets.

The work itself

Grounded Work Profile

Tools

  • Electronic Disclosure Filing SystemserviceBlueprint
  • Disclosure Review SystemserviceBlueprint
  • Market Surveillance SystemserviceBlueprint
  • Examination Case Management SystemserviceBlueprint
  • Enforcement Case SystemserviceBlueprint
  • Public Disclosure DatabaseserviceBlueprint

Outputs

  • Registered Securities FilingsserviceBlueprint
  • Enforcement Action OrdersserviceBlueprint
  • Trading Surveillance AlertsserviceBlueprint

Measured by

  • Filing Review TurnaroundserviceBlueprint
  • Enforcement Case Resolution TimeserviceBlueprint

Key steps

  • Receive Securities Registration FilingserviceBlueprint
  • Review Disclosure And ProspectusserviceBlueprint
  • Surveil Trading For Market AbuseserviceBlueprint
  • Examine Registered IntermediariesserviceBlueprint
  • Investigate Suspected ViolationsserviceBlueprint
  • Issue Registration Or Enforcement ActionserviceBlueprint
  • Publish Filings To Public DatabaseserviceBlueprint

How AGI delivers it

Four ways AGI delivers for Regulation of securities markets

  • Services-as-Software

    Get the professional outcome delivered as software, priced on results, not headcount.

    Services.do

  • Autonomous Agents as digital employees

    Hire a digital employee that does the job under earned, supervised autonomy.

    Agents.do

Value flow

How Regulation of securities markets connects

absorbs

  • Market Abuse Surveillancemodel
  • Securities Market Supervisionmodel
  • Securities Registrationmodel

composes

  • Disclosure Review Systemmodel
  • Electronic Disclosure Filing Systemmodel
  • Enforcement Case Systemmodel
  • Examination Case Management Systemmodel
  • Filing Disclosure Systemmodel
  • Market Surveillance Systemmodel
  • Public Disclosure Databasemodel
  • Registration Systemmodel

measured by

  • Enforcement Case Resolution Timemodel
  • Enforcement Timelinessmodel
  • Filing Review Turnaroundmodel

optimizes

  • Disclosure Compliance Ratemodel
  • Disclosure Qualitymodel
  • Investigation Cycle Timemodel
  • Market Integritymodel
  • Surveillance Coveragemodel

produces

  • Disclosure Filing Datasetmodel
  • Enforcement Action Ordersmodel
  • Enforcement Action Recordmodel
  • Registered Offering Recordmodel
  • Registered Securities Filingsmodel
  • Surveillance Alert Logmodel
  • Trading Surveillance Alertsmodel

realizes

  • Bring enforcement actionsmodel
  • Examine Registered Intermediariesmodel
  • Investigate Suspected Violationsmodel
  • Investigate market misconductmodel
  • Issue Registration Or Enforcement Actionmodel
  • License broker-dealers and advisersmodel
  • Publish Filings To Public Databasemodel
  • Receive Securities Registration Filingmodel
  • Register securities offeringsmodel
  • Review Disclosure And Prospectusmodel
  • Review issuer disclosuresmodel
  • Surveil Trading For Market Abusemodel
  • Surveil trading activitymodel

Go deeper

Explore Regulation of securities markets

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