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WEALTH MANAGEMENT
AI agent for regulatory compliance in wealth management
Documenting suitability, MiFID profiles and every recommendation record eats up adviser time: the agent prepares and files the compliance documentation for review.
AI agent for regulatory compliance in wealth management
An AI agent for regulatory compliance in wealth management integrates with your tools and current flow, with human supervision and traceability. Before automating we define the task, exceptions and success criteria.
We work from Barcelona and Madrid and remotely across Spain, Europe, LATAM and the United States. The agent adapts to your sector and real process, not the other way round.
We hand over the agent, its configurations, repositories and documentation in accounts owned by your company, without lock-in and with the ability to audit or rotate credentials.
Documenting suitability, MiFID profiles and every recommendation record eats up adviser time: the agent prepares and files the compliance documentation for review.
THE CHALLENGE
regulatory compliance in wealth management
In regulatory compliance in wealth management, manual work is slow, depends on staff and leaves room for error; automating it without knowing the sector's flow is a risk. The difference is an agent with rules, exceptions and control, built for your operation.
Unconsolidated regulatory changes
CNMV circulars and MiFID II updates arrive scattered, and it is hard to know which internal procedure needs review.
Incomplete suitability tests
Appropriateness and suitability questionnaires are filled in by hand, leaving data outdated before a product is recommended.
Client files without traceability
Without an orderly record of each recommendation, it is hard to justify to the supervisor why a given asset was proposed.
APPROACH
regulatory compliance in wealth management
An agent with rules, exceptions and milestone control, adapted to your sector.
Continuous regulatory watch
The agent tracks circulars and regulatory news and links them to the internal procedures affected.
Rules by client and product type
It applies suitability, appropriateness and risk-profile criteria by client category and recommended instrument.
Supervised file drafting
It prepares the record of each recommendation and leaves it for review before the adviser archives it.
Traceability of every operation
Each recommendation is logged with date, client, product and reason, ready for a potential inspection.
DELIVERABLES
regulatory compliance in wealth management
An operational, traceable agent under your control.
Regulation and procedure map
A list of active obligations linked to each internal process, always up to date.
Prepared suitability questionnaires
Appropriateness and suitability tests pre-filled with client data, ready to sign.
Auditable recommendation file
An orderly record of each piece of advice with its justification and applied profile.
Regulatory deadline alerts
Warnings on deadlines and accreditation renewals to avoid breaching training obligations.
TRUST
AI applied to real sector processes with supervision
AI agents adapted to your sector's real operations since 2008, with human supervision, traceability and milestone control in Barcelona, Madrid and remote. Code and documentation under your control, without lock-in.
- Adapted to your sector's real operation.
- Human supervision with milestone and exception control.
- A measurable first release before expanding scope.
- Code, configurations and documentation under your control.
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