AI solutions for wealth managers, investment firms and family offices, with suitability review, source-linked research, reporting controls and protected client data.
Built for regulated work
For wealth managers, investment advisers, asset managers and family offices. Prepare client and portfolio work from approved records while advisers, investment committees and compliance teams retain decision authority.
Use AI to read, organise and prepare evidence where it saves meaningful effort. Keep rules, permissions and calculations in tested software, not in a prompt.
Translate requirements agreed with legal, compliance and business owners into acceptance checks, approval points and operating procedures.
Compliance depends on the entity, licence, activities, contracts and actual operation. We build technical controls and evidence, not legal advice or regulatory certification.
Four practical solutions
Start with one workflow, approved sources and a named owner. These are solution examples, not claims about past results.
Read identity, ownership and source-of-wealth documents. Organise suitability information, find missing records and prepare periodic review packs. Screening uses approved providers, not model memory.
Approval boundary. Compliance and authorised advisers approve onboarding, risk classification and suitability assessments.
Summarise approved research, filings and mandate documents with source dates and citations. Compare evidence against the investment question and distinguish reported facts from analyst assumptions.
Approval boundary. Analysts and investment committees approve investment views. AI does not invent prices or place trades.
Prepare client reports from reconciled custody and portfolio data. Tested code calculates performance and exposure using agreed methods. Highlight mandate breaches and unexplained differences for review.
Approval boundary. Portfolio and reporting owners approve calculations, commentary and corrective action.
Prepare meeting briefs, draft follow-ups and gather evidence for communication reviews. Check drafts against approved product information, disclosures and client permissions before sending.
Approval boundary. Authorised staff approve personalised recommendations, financial promotions and client communications.
How the work flows
Each output stays linked to its sources. Failed checks or missing evidence send the work to a person. The approval record is separate from the AI draft.
Use current client circumstances, objectives, experience and risk information. Identify missing or stale information. Record the adviser's assessment and approval separately from AI preparation.
Calculate returns, fees, exposure and reconciliation with tested code and agreed conventions. Label valuation dates, currencies, benchmarks and assumptions. A language model does not produce the official figures.
Show the source and date beside substantive claims. Respect research licences and entitlements. Unsupported conclusions or stale market information trigger review.
AI does not execute trades, move assets, approve a mandate or send an unreviewed personalised recommendation. Enforce account permissions and approval limits outside the model.
Regulatory scope
Identify the regulator, licence, markets and data before implementation. The references below are starting points for assessment, not a declaration that every rule applies.
For DFSA-regulated activities, map conduct, suitability, client classification, communications, systems and controls, and AML obligations to the firm's permissions and actual services.
DFSA RulebookIdentify whether the relevant activity falls under securities, banking or another regulatory framework. Mainland investment activities require an assessment of the applicable federal securities regulator's rules; do not assume DIFC requirements apply everywhere.
UAE securities regulatorConfirm the privacy law, lawful processing, international transfers and record retention for client financial data. Where applicable, assess DIFC Regulation 10 for personal data processed by autonomous and semi-autonomous systems.
DIFC Regulation 10For in-scope UK services, assess applicable FCA conduct and suitability requirements and Consumer Duty obligations. Customer type, distribution role and territorial scope matter; AI does not remove the firm's responsibilities.
FCA HandbookYour legal and compliance teams confirm current rules, applicability, effective dates and supervisory expectations. Engineering evidence supports that review; it does not replace it.
Data protection and reliability
Review retrieval, providers, tools, uploads, activity records and support access together. A private model can still be unsafe if the connected workflow is not controlled.
Assess approved cloud, private infrastructure or self-hosted models against data sensitivity, outsourcing, support access and transfer requirements. Client data does not train general-purpose AI without express written agreement.
Record source references, model and policy versions, tool calls, checks, reviewer and outcome. Protect activity records from unauthorised changes and agree retention with the responsible teams.
Test missing evidence, stale sources, duplicate requests, provider outages and rollback. Stop at failed checks and route the case to a person without blocking the established process.
Test model, prompt, retrieval and integration changes against agreed cases. Track errors and review overrides after release. Provide named owners, an incident procedure and a controlled rollback.
Connected to your existing systems
Start with narrow read access. Any write is separately authorised, validated and recorded. Agree reconciliation and failure handling before connecting production records.
Connect custodians, portfolio management and order systems through scoped read access. Reconcile holdings, transactions, cash and corporate actions before using them in reports.
Use approved client records, mandate versions and review histories. Limit access by client, household and adviser role, including delegated access and confidentiality restrictions.
Respect market-data and research entitlements. Route drafts and evidence into existing compliance queues with source links, reviewers and approval records.
Delivery and handover
Identify the licensed entity, activities, markets and records. Your legal and compliance teams confirm applicable obligations and required approvals.
Agree inputs, outputs, access, review points and prohibited actions. Define measurable pass criteria and the evidence needed for release.
Connect approved sources and test representative cases, difficult exceptions, source accuracy, permissions, calculations and security attacks.
Run AI-prepared work alongside the current workflow. Business and risk owners review results without authorising new customer-impacting actions.
Hand over agreed code, configurations, control mapping, evaluation evidence and operating procedures. Confirm monitoring, support and change approval.
Scope, ownership, licensing and support terms are agreed in writing. We estimate delivery after reviewing access, integration and approval dependencies rather than promising a regulated production date in advance.
Questions before starting
Not in the proposed workflows. AI prepares research and drafts for authorised staff. Personalised recommendations require the firm's suitability process and approval before communication.
Yes, for reporting, document review and internal research preparation. Regulatory scope depends on the entity, services and jurisdictions. We do not assume a family office has the same obligations as a licensed adviser.
Yes, using tested calculations over reconciled records with agreed treatment of cash flows, fees, currencies and benchmarks. AI can draft commentary from approved figures, but it is not the calculation engine.
Only where the licence and client permissions allow the intended processing and use. We assess entitlements, provider terms and retention before connecting the research source.
Start with one process
Tell us about the records, the systems and the rules involved. We will help define a first release and the evidence needed to review it.