Compliance unterstuetzen

Enforce Compliance

Implement regulatory requirements, Reduce risk, support clients.
Current Situation

Banks are required to comply with new regulation, not only to avoid liability risks but especially to improve client service, and to increase customer satisfaction.

Objective:

Check PRIIP Key Information Documents (“KIDs”) for compliance in form and content with MiFID and other regulations.

How CID can support:
  • ‍Formal KID validity checks (e.g., language consistency, coverage of all required chapters)
  • Text Analytics and Machine Learning-based checks if risk category and textual description match
  • Flagging of outliers and potentially non-compliant products
Objective:
How CID can support:

Establish system-supported advisory processes along regulatory (documentation) requirements.

  • ‍Recommendation only of cleared products
  • Matching of client profiles, especially risk aversion and product type clearance
  • Transparent and comprehensible Neuro Graph-based product and information recommendation
Objective:

Inform clients about holdings-relevant insights pro-actively and ensure compliance with advisory requirements.

How CID can support:
  • ‍Text analysis of new and updated research from the bank and trusted sources
  • Identification of potentially impacted clients by referencing research, instruments, and holdings
  • Recommendation of content items to clients and advisors
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How Banks Benefit

Increase and enforce compliance with new regulatory requirements. Ensure traceable recommendations for clients and advisors as well as comprehensive documentation. Conform with notification duties, improve service with pro-active alerts.

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