Prentice Foundation SMA

SMA-9310 · Institutional Portfolio Operations (synthetic)

Blocked

1
Blocking: 1
Awaiting authorization: 0
Warnings carried

Strategy: US Large-Cap Direct Index
Mandate: v1.1
Model: 2026.03.1
Rebalance window: Mar 18, 2026 – Mar 19, 2026
Market value: $9,140,000
Projection: pv-109183e8e137

Supporting case. Two mandate versions are effective at once and disagree on the limits that govern this decision. It is evaluated by the same engine as the flagship account, at one fixed point in time rather than as a stepped scenario.

Blocking

1 control blocks this rebalance

A hard stop or rebalance blocker that has not passed. Everything else can proceed in parallel.

POLICY-CONFLICT-011ConflictHard stop
Competing effective policy authority
SLA breached 8.4 h open
Mandate versions v1.0 (owner Client IPS (synthetic)) and v1.1 (owner Client IPS amendment (synthetic), filed without retiring v1.0) are both effective on 2026-03-18 and disagree on single-name limit 22.00% vs 18.00%; minimum cash 1.00% vs 2.00%.
Owner
Control Owner
Client impact
Two instructions on file disagree; the client would receive an outcome no one can explain.
Permitted resolution paths
- Route the contradiction to its named ownersControl Owner approval
  Both effective instructions are shown side by side. The product does not select one; the owners reconcile them.
Clearing this unblocks 3 controls: GAIN-BUDGET-009, TAX-BASIS-003, WASH-SALE-005

Awaiting a named human

1 decision requires authorization

These do not block the work, but the rebalance cannot be released until an eligible role records a reasoned decision.

APPROVAL-010FailManual review required
Required human authorization
Due Mar 17, 2026, 05:05 UTC
Outstanding: Authorized release of the handoff package.
Owner
Compliance Officer
Client impact
No client impact. An internal authorization is outstanding.
Permitted resolution paths
- Record the outstanding authorizationPortfolio Manager approval
  Review the release package and record the approval with a reason. The approval binds to this exact projection.

Prentice Foundation SMA

1 control blocks this rebalance

Competing effective policy authority

1 decision requires authorization

Required human authorization

Prentice Foundation SMA

1 control blocks this rebalance

Competing effective policy authority

1 decision requires authorization

Required human authorization