What is the limit per issuer, who approves a trade above the limit, how do I declare a conflict of interest: the answers are in the policies in SharePoint, but before a trade in Bloomberg Terminal the manager spends a long time looking for them. The assistant in Teams answers with a link to the valid document and sees only what the employee can see under their Entra ID permissions.
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An investment management firm runs on an investment policy with limits for each fund and strategy, a conflict of interest procedure, a trade approval procedure, rules for suitability and appropriateness assessment of clients and a personal account dealing procedure. The documents sit in SharePoint, and some older versions are in e-mail attachments. A new portfolio manager, before entering an order in Bloomberg Terminal, asks a colleague in Teams whether risk officer approval is needed, and the colleague answers from memory. Every week the compliance officer answers the same questions about the suitability questionnaire on the client record in Salesforce, and the version confusion comes to light during an internal audit.
A Copilot Studio agent runs in your Microsoft 365 tenant as a chat in Teams. The employee asks in plain language, and the agent searches only approved SharePoint libraries and only among documents the employee can see under their Entra ID permissions, and answers with a quotation, the clause number and a link to the valid version. If the question is about a specific trade or client, the agent points to the procedure and the responsible person but does not make the decision, give a recommendation or look at Bloomberg or Salesforce data. The manager checks actual limit usage in your Power BI report, which the agent links to. When no document covers the question, the agent says it has no information. Data stays in your tenant and is not used to train models, and questions are written to a log that the compliance officer can see.
Four steps from input to a record in your system, with human approval wherever there is risk.
The employee writes to the agent in a Teams chat, usually before entering an order in Bloomberg Terminal or LSEG Workspace: what is the limit per issuer in the growth strategy, does a transaction with a related party need to be declared, which suitability questionnaire applies to a retail client. The agent may ask for the fund or client segment to be clarified.
The agent searches approved SharePoint libraries and sees only the documents the employee could open themselves under their Entra ID permissions. Risk committee or board documents stay invisible to the manager. Drafts and archived versions are marked and excluded from search.
The employee gets a quotation, the clause number and a link to the valid version of the document in SharePoint. For a question about a specific trade, the agent states the procedure, who approves and a link to your Power BI limit report, but does not assess the trade. If the topic is not covered in the policies, the agent says it has no answer and refers the person to compliance.
In the log, the compliance officer sees unanswered questions and recurring topics and uses them to refine the documents. A new policy version in SharePoint becomes visible to the agent within a few hours, and the old one disappears. We maintain the agent settings, the list of libraries and the links to Power BI reports.
An agent in your Microsoft 365 tenant, available in a Teams chat to portfolio managers, analysts and client service by Entra ID group.
SharePoint libraries with version, validity and access metadata, so that the agent answers only from policies in force, and links to Power BI limit reports.
A log of questions, answers and unanswered topics in your tenant, useful for policy reviews and internal audit.
Training for employees and document owners, support for the agent and the SharePoint libraries, and adding new policies.
A Copilot Studio agent in Teams that searches approved SharePoint libraries and links to your Power BI limit reports, all within your Microsoft 365 tenant. If you keep the policy register in Salesforce or Dynamics 365, we bring in the documents through an API, file export or an e-mail flow, depending on the version. Learn more about this service and its limits on the service page.
No. The agent quotes the policy and procedure, states the limits and who approves, but it does not assess a trade, look at Bloomberg or portfolio data or give recommendations. The decision is made by the manager under your procedures.
Not in the first stage. The agent answers only from policy documents in SharePoint and links to your Power BI report, which the manager opens themselves. Connecting Power BI or Salesforce data with read-only permissions is possible in a second stage through an API or dataset queries, depending on licences, and we choose the method after a check.
No. Copilot Studio runs in your tenant under Microsoft's commercial terms, and documents and conversations are not used to train models. The log and settings remain in your administrators' hands.
In a day, an analyst receives more reviews, issuer reports and prospectuses from Bloomberg Terminal, LSEG Workspace and e-mail than anyone can read.
After a client meeting, the manager writes notes into Salesforce or Dynamics 365 from memory, and some of the agreed actions get lost.
At the end of the month, the portfolio manager prepares dozens of reports and letters from the same Euroclear statements and Excel tables.
A new version of ESMA guidelines, an updated decision of the financial regulator, changed stock exchange rules, a changed internal policy: the…
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