Agent Rollout Checklist An interactive, saved checklist for setting approval and record-keeping rules and putting your first agent live.
From AI Operations for RIAs 101: Approvals, Records & Rollout → Tool: Agent Rollout Checklist
Map your ops week and pick ONE workflow to start with (Modules 2 and 3) Write down the workflow's steps, its common exceptions and who handles each step today Review the plan with your CCO or compliance consultant: what gets approved, logged and retained Connect the agent only to the systems it needs, through firm-owned logins with the least access that works Write your approval rules: every client-facing email approved at first; never withholding elections, trades or money movement Choose where approval requests go (text, email or Teams/Slack) and confirm you actually see them Test the agent on last month's real meetings, forms or transfers, and compare with what your team did Run in draft mode for about two weeks: approve, edit or reject everything before it goes anywhere Check that every agent action is logged and can be exported for your CCO Let routine internal work run on its own, keep client-facing approvals, and review a sample weekly for the first month Once the first agent is running smoothly, pick the next one to add Your progress is saved in this browser only. This checklist is a practical guide, not compliance or legal advice; your CCO or compliance consultant should confirm what your firm needs.
