Predefined Policy Thresholds

Reference policy rules (MiCA, SOX, GDPR) used for threshold logic in the Global Copilot — mapped by user_region and injected dynamically.

This page documents sample policy rule sets and threshold values used by the Global Control Copilot – Cross-Jurisdiction Policy Interpreter template.

These rules are dynamically selected at runtime based on the values of user_region and submission_type. They are then injected into the workflow using a Variable Assigner or Knowledge Retrieval block and can be used to determine auto-approval, escalation, or user guidance behavior.

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🔍 How Policies Are Used in GLIK

Policy definitions can be used to:

• Populate compliance thresholds (e.g., exposure caps, deadline limits)

• Control which sections are required for a submission to pass

• Inform LLM reasoning blocks about regulatory expectations

• Enable auto-approval or trigger escalation pathways

• Support jurisdiction-specific logic, without rewriting the workflow

They can be injected in three main ways:

1. Variable Assigner block (static config or memory preload)

2. Knowledge Retrieval block (dynamic policy fetch)

3. Preloaded session memory (for SDK and automation use)

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🌐 Example Policy Rule Sets

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🧾 MiCA (Markets in Crypto-Assets)

policy_reference: MiCA
risk_exposure_limit_eur: 1000000
reporting_deadline_days: 5
checklist_required: true
attestation_required: true
liquidity_disclosure_required: true

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🧾 SOX (Sarbanes-Oxley Act)

policy_reference: SOX
quarterly_disclosure_deadline_days: 45
cfo_attestation_required: true
audit_trail_required: true
sec_submission_flag: true

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🧾 GDPR (General Data Protection Regulation)

policy_reference: GDPR
incident_disclosure_window_hours: 72
data_classification_required: true
dpo_approval_required: true
audit_log_required: true

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🔁 Dynamic Policy Loading

These rules can be fetched dynamically using a Knowledge Retrieval block, where user_region or submission_type is passed in as a query variable. This allows the template to stay modular and respond to jurisdiction-specific needs in real time.

Example:

retriever_query:
  policy_name: {{user_region}}_compliance_policy

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🧰 Fallback Behavior (Missing or Null Policy Values)

If any required threshold (e.g., risk_exposure_limit_eur) is missing or malformed:

• The workflow should default to safe mode — typically triggering escalation

• You can add an IF/ELSE guard:

  if risk_exposure_limit_eur == null:
    escalate = true

• LLM blocks can also be configured to explain "policy unknown" conditions gracefully to the end user

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⚙️ Overriding Policies Mid-Session

GLIK workflows can support dynamic override logic — for example, if submission_type == Exception Report and the user provides a valid override_reason, policy rules can be conditionally relaxed.

Use an IF/ELSE block:

if submission_type == "Exception Report" and override_reason != null:
  apply_exception_handling = true

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📦 Storing Policies in GLIK Knowledge

Instead of using YAML only, policy definitions can also be stored in GLIK Knowledge as structured chunks or JSON nodes. This is ideal for organizations managing multiple policies or updates over time.

Use Knowledge Retrieval to query:

• MiCA policies by country

• GDPR enforcement by sector

• Internal control matrices

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📌 Best Practices

• Keep policy keys consistent across all regions for easier variable mapping

• Use user_region and submission_type together to disambiguate edge cases

• Always log which policy was used via Save Point or memory trace

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📄 Related Pages

• Input Logic & Routing Behavior
• Compliance Copilot – MiCA Reporting
• Blocks & Nodes Overview