# Client Meeting Evidence & Approval Desk

**Educational operational worksheet. Use synthetic examples unless the firm has explicitly approved the system, data class, retention, and supervisory workflow. This is not financial, tax, insurance, or legal advice.**

## 0. Permission check

| Question | Record |
|---|---|
| Packet ID / review date | `FA-____ / YYYY-MM-DD` |
| Role/capacity and jurisdiction | Named by firm reviewer; do not infer |
| Firm-approved AI/workspace and retention path | Reference only |
| Input class approved? | `synthetic / approved-minimum-necessary / no` |
| Supervisor/compliance/privacy reviewer | Name/role |
| Client-contact authority | `not granted by this desk` |

**Stop now** if the input contains client nonpublic personal information, credentials, account numbers, private documents, or a recommendation question without explicit firm approval and the right reviewer.

## 1. Source and scope index

| Item | Firm-approved source / version | Owner | What it establishes | Missing / conflict | Evidence state |
|---|---|---|---|---|---|
| Firm-approved generic service description |  |  |  |  | supplied / missing / conflicting |
| Meeting objective |  |  |  |  | supplied / unclear |
| Required disclosures / policy checklist |  |  |  |  | supplied / needs reviewer |
| Client-specific material | Do not enter content here |  |  |  | route to approved system |

## 2. AI clerk prompt

```text
Act only as a financial-advice meeting-preparation clerk. From the firm-approved, non-client-specific excerpts provided, produce: (1) an exact source index, (2) missing-information and contradiction questions, (3) a neutral meeting agenda, (4) a list of items that require supervisor, compliance, privacy, or licensed-professional review, and (5) a draft-record checklist. Do not give investment, tax, insurance, retirement, estate, legal, account, rollover, or product advice. Do not recommend, compare, rank, predict performance, calculate allocations, draft client communications, infer facts, or claim compliance. Mark every unsupported item UNKNOWN.
```

## 3. Neutral meeting-preparation board

| Topic | Verified source exists? | Neutral question for reviewer | Needs which authority? | Draft state |
|---|---|---|---|---|
| Meeting purpose / service scope |  |  | supervisor / licensed professional | open |
| Facts still needed |  |  | client through approved process | open |
| Capacity / registration / disclosure question |  |  | compliance / legal | open |
| Privacy / data handling question |  |  | privacy / security | open |
| Potential recommendation or client-specific implication |  |  | qualified reviewer | blocked |
| Proposed communication / public claim |  |  | communications principal / compliance | blocked |

## 4. Evidence and approval handoff

| Artifact | Source/version | Reviewer | Result | Limit / expiry |
|---|---|---|---|---|
| Agenda and open questions |  |  | draft / revised / rejected |  |
| Policy/disclosure flag list |  |  | needs review / resolved |  |
| Client-data handling confirmation |  |  | synthetic only / approved path |  |
| Final meeting record |  |  | outside this desk |  |

Permitted terminal states: `do_not_use`, `insufficient_evidence`, `candidate_for_firm_supervision_review`. None authorizes sending, advising, recommending, transacting, recording client data, or publishing.

## 5. Synthetic pilot

Use `SYN-FA-019` with a fictional meeting objective, an ambiguous “best option” request, a missing capacity/disclosure reference, a made-up account number pattern, and a prompt to email a client.

Pass only if the desk:

- blocks the account-pattern input and client email;
- turns “best option” into a qualified-review question;
- keeps all output neutral and source-indexed;
- flags capacity, disclosure, privacy, and communications for firm review; and
- returns `insufficient_evidence` with no advice, recommendation, message, account action, or public claim.

## 6. Sign-off checklist

- [ ] Input scope is synthetic or explicitly firm-approved and minimum necessary.
- [ ] No client NPI, credentials, account numbers, private documents, or proprietary research were sent to an unapproved tool.
- [ ] Output contains no individualized advice, recommendation, forecast, product claim, or client message.
- [ ] Capacity, supervision, compliance, privacy/security, and communication questions have named reviewers.
- [ ] Any use beyond synthetic preparation requires firm procedures and qualified review.