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Compliance Boundaries for Investment-Research AI: Disclaimers, Audit Trails and Traceability

When you put AI into an investment-research workflow, compliance is not one disclaimer line at the end of a report — it is a system-design problem: does the output constitute investment advice, are the data sources licensed, and can every conclusion be traced back to its inputs and prompt versions. This article gives a risk-dimension inventory, an audit-trail architecture, human-review checkpoint design, a question list to take to legal, and a route for strengthening internal policy.