AI Review of Advisory Records
Together with a cantonal bank, we are piloting an AI solution that checks advisory records against a FIDLEG criteria catalogue: a clear finding for each criterion, linked to the rule and to the exact passage in the document, plus concrete suggestions for improvement.
- Client
- Swiss cantonal bank
- Status
- In development
At a glance
Every finding backed
Each result comes with the rule reference and the supporting passage in the document.
Rules and AI kept apart
Clear rules run without AI; the language model is only used where the content needs judging.
Specialists decide
The solution delivers a traceable finding; the judgement stays with the specialists.
The challenge
Under FIDLEG, investment advice has to be documented and reviewed. In many banks, that review is done by hand and on a sample basis, and whether a case meets the requirements often only becomes clear when several documents are read together.
Our solution
We built an AI compliance assistant that checks the documents of an advisory case against a criteria catalogue. Each criterion gets an unambiguous finding with a rule reference and the supporting passage in the document; the judgement stays with the specialists.