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Trade Supervision Team: \u00a0using Non-Green (SRT Score> 0) EQ Trades under Non-Discretionary accounts per current Regulatory guidelines, only about 16% of EQ Trades resulted in an \"Action\" from the supervision review.\u00a0 A supervised Machine Learning (ML) Model was developed to predict an EQ Trade\u2019s likelihood to be \u201cActioned\u201d from Supervision Review.", + "Validated Use of Model": null, + "Aligned PE Expiration Date": null, + "Model Status": "In Use", + "Model Developer Group": "EDAI", + "Downstream Model": null, + "Retirement reason": null, + "Model Developer": "Goel, Mridul G", + "Compliance Requirements": null, + "User Category": null, + "Model Owner": "Landree, Joe C", + "Model Attestation for inventory": "True", + "ELT": "Joe Sweeney", + "Model Sponsor support": "Soderstrom, Jeff E", + "Model Certification Status": "Complete", + "Validation Director": "Ark Mishara ", + "Validation VP": "Radhika Chopra", + "FSV Anniversary date": "2024-07-23", + "Active Policy Exception": "No", + "Business Unit": "AWM", + "Certification Completion Date": "2025-11-15", + "Model Use Flag": null, + "Model Attestation Status": "Complete", + "Related to insurance business": null, + "Model Category": [], + "Lifecycle Status": "Active", + "Model Usages": null, + "Actual Production Date": "2021-05-12", + "Planned Production Date": "2021-05-12", + "Attestation Completion Date": "2025-07-22", + "Vendor Model": "Yes", + "Date of Last Full Validation": "2025-10-31", + "Model Sponsor": "Soderstrom, Jeff E", + "Current Risk Tier": "T3", + "AIML Model": "Yes", + "Date of Last Annual Review": null, + "Validation Type": "Initial Validation(Full Scope Validation)", + "Name of Validator Review": " Kaushik Mahato", + "Date of Independent Validation": "2025-10-31", + "Validation Owner": "Ark\u00a0 Mishara", + "Validation Type N": null, + "Open Policy Exception": "No", + "Open Findings": "No", + "Vendor Name": "AutoGluon", + "Vendor ID": null, + "Vendor Company": null, + "Governance Ownership": null, + "created_at": "2025-05-16", + "updated_at": "2025-11-19", + "created_by": "mrm_admin", + "updated_by": "mrm_admin", + "status": "Complete", + "description": "pool", + "assignedUser": "Dupont, Anthony", + "type": "Tiering Process", + "unique_id": "MOD-362", + "entity_type": "ModelInventory", + "due_date": null, + "workflowName": "Tiering workflow Final", + "delegated_by": null, + "is_archived": false, + "workflowId": 64, + "currentVersion": 1, + "associated_system": null, + "entity_code": "362", + "entity_alias": "SRT Equity Trade Action Propensity Model", + "model_name": "Srt Equity Trade Action Propensity", + "model_id": 2309, + "request_type": "Normal", + "priority": null, + "association_name": null, + "association_id": null, + "request_to_model_id": null, + "app_name": null, + "subassigned_users": [], + "Health": "High", + "health_status": { + "label": null, + "color": null, + "fail_reason": null + }, + "due_at": null, + "status_description": "Tiering Initiation", + "tat_minutes": null, + "checklist_status": "0/0", + "checklist_total": 0, + "checklist_completed": 0, + "accesslevel": "Manage" + }, + { + "Platform": "SRT", + "Date of Next Full Validation": "2029-07-23", + "Region": null, + "Current Use Approval Status": "Approved for Use", + "Governing Technology Policy": null, + "Model Owner Support": "Goel, Mridul G", + "Gen AI": "No", + "Model Purpose": "Used by Trade Supervision Team to risk rank trades, based on their likelihood of being risky, in order to prioritize their review. Trade Supervision Team:\u00a0 using Non-Green (SRT Score> 0) ETF Trades under Non-Discretionary accounts per current Regulatory guidelines, only about 17% of ETF Trades resulted in an \"Action\" from the supervision review.\u00a0 A supervised Machine Learning (ML) Model was developed to predict an ETF Trade\u2019s likelihood to be \u201cActioned\u201d from Supervision Review.", + "Validated Use of Model": null, + "Aligned PE Expiration Date": null, + "Model Status": "In Use", + "Model Developer Group": "EDAI", + "Downstream Model": null, + "Retirement reason": null, + "Model Developer": "Goel, Mridul G", + "Compliance Requirements": null, + "User Category": null, + "Model Owner": "Landree, Joe C", + "Model Attestation for inventory": "True", + "ELT": "Joe Sweeney", + "Model Sponsor support": "Soderstrom, Jeff E", + "Model Certification Status": "Complete", + "Validation Director": "Ark Mishara", + "Validation VP": "Radhika Chopra", + "FSV Anniversary date": "2024-07-23", + "Active Policy Exception": "No", + "Business Unit": "AWM", + "Certification Completion Date": "2025-11-15", + "Model Use Flag": null, + "Model Attestation Status": "Complete", + "Related to insurance business": null, + "Model Category": [], + "Lifecycle Status": "Active", + "Model Usages": null, + "Actual Production Date": "2021-05-12", + "Planned Production Date": "2021-05-12", + "Attestation Completion Date": "2025-07-22", + "Vendor Model": "Yes", + "Date of Last Full Validation": "2025-10-31", + "Model Sponsor": "Soderstrom, Jeff E", + "Current Risk Tier": "T3", + "AIML Model": "Yes", + "Date of Last Annual Review": null, + "Validation Type": "Initial Validation(Full Scope Validation)", + "Name of Validator Review": " Kaushik Mahato", + "Date of Independent Validation": "2025-10-31", + "Validation Owner": "Ark\u00a0 Mishara", + "Validation Type N": null, + "Open Policy Exception": "No", + "Open Findings": "No", + "Vendor Name": "AutoGluon", + "Vendor ID": null, + "Vendor Company": null, + "Governance Ownership": null, + "created_at": "2025-05-16", + "updated_at": "2025-11-19", + "created_by": "mrm_admin", + "updated_by": "mrm_admin", + "status": "Complete", + "description": "pool", + "assignedUser": "Dupont, Anthony", + "type": "Tiering Process", + "unique_id": "MOD-361", + "entity_type": "ModelInventory", + "due_date": null, + "workflowName": "Tiering workflow Final", + "delegated_by": null, + "is_archived": false, + "workflowId": 64, + "currentVersion": 1, + "associated_system": null, + "entity_code": "361", + "entity_alias": "SRT ETF Trade Action Propensity Model", + "model_name": "Srt Etf Trade Action Propensity", + "model_id": 2307, + "request_type": "Normal", + "priority": null, + "association_name": null, + "association_id": null, + "request_to_model_id": null, + "app_name": null, + "subassigned_users": [], + "Health": "High", + "health_status": { + "label": null, + "color": null, + "fail_reason": null + }, + "due_at": null, + "status_description": "Tiering Initiation", + "tat_minutes": null, + "checklist_status": "0/0", + "checklist_total": 0, + "checklist_completed": 0, + "accesslevel": "Manage" + }, + { + "Platform": "SRT", + "Date of Next Full Validation": "2029-07-23", + "Region": null, + "Current Use Approval Status": "Approved for Use", + "Governing Technology Policy": null, + "Model Owner Support": "Goel, Mridul G", + "Gen AI": "No", + "Model Purpose": "Used by Trade Supervision Team to risk rank trades, based on their likelihood of being risky, in order to prioritize their review. 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