Industry
AI agents for wealth and capital markets
Advice and trading firms must prove suitability, keep complete records and watch for market abuse.
Example agents
- Suitability checksCompares recommendations against the client’s recorded profile.
- Client servicingAnswers portfolio and statement questions without giving advice it shouldn’t.
- Communications reviewReviews recorded calls and messages for required disclosures.
- Records assistantAssembles complete records for a client request or audit.
What a compliance pack can cover
- Securities regulator suitability rules
- Client communication and record-keeping rules
- Market abuse surveillance requirements
- Outsourcing guidance for investment firms
- National data protection law
These are generic names. Each country pack maps them to your local rules, and coverage varies by country. We confirm what is available for your use case before a pilot.
Book a demoWe’ll base the demo on a wealth and capital markets scenario.