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Trade Exception Management Agent

Centralizes exception handling, identifies causes, suggests remediations, and auto-assigns owners for efficient trade resolution.

Trade management processes often face operational delays and inefficiencies due to distributed exception data, manual coordination among teams, and the absence of centralized historical insights. These resource-intensive practices create bottlenecks, extend cycle times, and inhibit prompt resolution, ultimately affecting sales execution effectiveness and employee productivity.

The Trade Exception Management Agent addresses these issues by consolidating all exception case data from both internal and external sources, including trade request records, exception logs, regulatory guidelines, and correspondence. Utilizing advanced AI, the agent aggregates disparate data into a unified workspace, applies root cause analysis on exception logs and historical resolutions, and delivers contextual insights directly to stakeholders. GenAI-powered recommendations are generated by analyzing regulatory and best practice information, and the agent streamlines workflows by auto-assigning each case to the most appropriate owner based on workload, assignment history, and exception attributes. Real-time case tracking provides transparency and up-to-date status to all involved.

This solution directly maximizes process and employee productivity by eliminating manual exception triage, reducing cycle time, and driving more consistent, data-backed decision-making. Automated remediation guidance and dynamic workload assignment support faster, more accurate resolutions and enable greater cross-team accountability. Organizations benefit from a centralized platform that optimizes exception resolution, resulting in measurable operational efficiency and cost savings across the sales execution workflow.

Accuracy
TBD

Speed
TBD

Input Data Set

Sample of data set required for Trade Exception Management Agent:

Source System: TradeNet Clearing System
Event Type: Trade Settlement Exception
Timestamp: 2023-10-26T14:35:10Z




Structured Exception Data


    

  • Trade ID: T789102
    • 

  • Execution Date: 2023-10-25
    • 

  • Settlement Date: 2023-10-27
    • 

  • Counterparty: Apex Solutions
    • 

  • Instrument: Quantum Dynamics Corp (QDC)
    • 

  • ISIN: US74752C1015 (As submitted)
    • 

  • Quantity: 50,000
    • 

  • Direction: BUY
    • 

  • Exception Code: E-05
    • 

  • Exception Priority: High
    • 





Unstructured Data Log


System Log Message: 
FAILURE: Settlement instruction rejected by custodian. Reason: Invalid security identifier. Mismatch on record for ISIN US74752C1015. Aborting settlement process for Trade ID T789102.


Appended Email Correspondence:


    

  • From: john.doe@innovatecorp.com
    • 

  • To: trade-support@innovatecorp.com
    • 

  • Subject: URGENT: Fail on T789102
    • 

  • Body: Team, we have a settlement fail on the 50k QDC buy from Apex. System is flagging an ISIN mismatch. This is a high-priority client, we need to get this sorted before EOD. Can someone investigate the root cause? Not sure if it was our entry or theirs.
    •

Deliverable Example

Sample output delivered by the Trade Exception Management Agent:

Trade Exception Resolution Report: T789102


Report Generated: 2023-10-26T14:36:02Z
Priority: High




1. Exception Summary


A settlement failure has occurred for Trade ID T789102, a 'BUY' order of 50,000 shares of Quantum Dynamics Corp (QDC) with counterparty Apex Solutions. The custodian rejected the instruction due to an invalid security identifier (ISIN), preventing settlement planned for 2023-10-27.






Trade ID
Counterparty
Instrument
Quantity
Direction
Settlement Date
Exception Code






T789102
Apex Solutions
QDC
50,000
BUY
2023-10-27
E-05








2. Root Cause Analysis


    

  • Primary Cause: Data Entry Mismatch. The submitted ISIN (US74752C1015) does not match the central security master record for Quantum Dynamics Corp, which is US74752C1016.
    • 

  • Historical Context: Analysis of the past 12 months of trade data reveals 4 similar ISIN mismatch exceptions involving trades with Apex Solutions. In 3 of those 4 cases, the error originated from the counterparty's trade confirmation file.
    • 





3. Recommended Remediation Plan


Below are the suggested steps to resolve this exception, based on internal best practices and regulatory guidelines for trade settlement corrections.


    

  1. Verification:
      

    • Action: Contact Apex Solutions' trade operations team immediately to confirm the correct ISIN for Quantum Dynamics Corp.
      • 

    • Rationale: To validate the source of the error before re-submitting and prevent a repeat failure.
      • 

    

    2. 

  2. Correction:
      

    • Action: Cancel the existing settlement instruction for Trade T789102.
      • 

    • Rationale: Prevents duplicate processing attempts with incorrect data.
      • 

    

    3. 

  3. Resubmission:
      

    • Action: Submit a new, corrected trade instruction with the validated ISIN (US74752C1016).
      • 

    • Rationale: To complete the settlement process and fulfill the trade obligation.
      • 

    

    4. 

  4. Documentation:
      

    • Action: Log the confirmed cause (e.g., "Counterparty Data Error") and resolution steps in the trade audit trail.
      • 

    • Rationale: Maintains compliance records and improves future root cause analysis.
      • 

    

    5. 





4. Ownership and Status


    

  • Suggested Owner: Sarah Chen (Settlements Team)
    • 

  • Assignment Rationale: Sarah Chen has successfully resolved 85% of ISIN-related exceptions in the last quarter and currently has the lowest active case workload on the Settlements Team.
    • 

  • Current Status: Open - Awaiting Action
    • 

  • Next Step Due: 2023-10-26T16:00:00Z
    •

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