Theme

Compliance & Regulatory

RegTech, reporting automation, regulatory change management

Filter in Explore

Cited evidence

Reported outcomes in this theme

Company-reported measure

DBS Bank

GenAI assists KYC name screening

~70% reported efficiency gain in name screening; denominator undefined

Vendor case studyCross-industry

Novo Nordisk

NovoScribe assists regulated document writing

90% less clinical-study-report writing time, reported in a vendor case study

77 researched workflows · provenance on each case

81 catalog records

Multilingual KYC document processingACT GroupACT Group, described by its COO as a regulated financial intermediary in environmental commodities, is live with Fenergo's Document Agent to collect, classify and analyze multilingual KYC documents and support counterparty onboarding.Production · reported stage
AI-assisted fraud and enforcement analyticsASICASIC reports current AI use for pattern and anomaly analysis supporting fraud detection, enforcement and intelligence.Production · reported stage
Human-supervised agent chain for business-customer service updatesAT&TAT&T identifies its first production Ask AT&T Workflows application as customer service updates that synchronize data across systems. It specifies mandatory human checkpoints, action logging, role-based access, data isolation and retention controls at agent handoffs.Production · reported stage
Neckarsulm AI screens spot-weld quality and directs specialist reviewAudiAudi reports AI analysis of spot-weld quality at Neckarsulm, shifting staff attention toward possible anomalies instead of relying only on manual ultrasound sampling. The 2023 release distinguishes existing local use from infrastructure planned at other group sites.Production · reported stage
Board-minutes analysis for governance supervisionBanca d'ItaliaThe tool analyses board minutes for speakers, intervention frequency/tone and topics to support governance review.Production · reported stage
Inspection finding drafting and cross-report consistency checksBanca d'ItaliaAn AI assistant suggests inspection findings; a companion service retrieves applicable regulatory standards for report consistency.Production · reported stage
AI-assisted fit-and-proper reputational screeningBanca d'ItaliaAI analyses prospective board members’ and managers’ profiles for fit-and-proper assessment. NLP press screening supplements extraction from supervisory databases.Production · reported stage
Branch legal-query supportBBVASupports lawyers answering client questions relayed through branch managers.Production · reported stage
Al Murshid Shari'a financial guidanceBisBBisB launched an AI system answering questions on Islamic financial rulings and contract structures from bank fatwas, AAOIFI standards and curated references.Production · reported stage
AI first-pass review of investor communicationsBlackstoneBlackstone Legal & Compliance uses AI to check document consistency, flag anomalies, retrieve precedent and route materials for expert review.Production · reported stage
Frontline GPT for sales-process, product and compliance knowledge retrievalBOCHKBOCHK's bank-authored awards case describes Frontline GPT, jointly developed by branch operations, compliance and product teams. Staff obtain integrated knowledge-base answers through natural-language inquiries instead of navigating multiple interfaces.Production · reported stage
AILA internal-audit planning and risk analysisBradescoBradesco's internal audit team built AILA for data analysis, regulation comparison and risk identification, including structured root-cause prompts.Production · reported stage
Coordinated freight-forwarding quotation, booking and customs document completionC.H. RobinsonThe issuer reports agents already quoting ocean/air freight, handling China ocean bookings since August, and supporting customs document processing. Customs work splits and classifies documents, attaches them to shipments, extracts data, requests missing material and prepares closing packets; human brokers retain validation and compliance work.Production · reported stage
Regulatory-data error and outlier detectionCFTCAI identifies potential errors in institution-submitted data.Production · reported stage
Citi Assist policy and procedure retrievalCitigroupRetrieves internal policy and procedure information for employees.Production · reported stage
Corteva drafts regulatory filings with human reviewCortevaCorteva's digital VP told AgFunderNews that a deployed GenAI tool drafts regulatory documents. Staff continue reviewing the documents before use.Production · reported stage
Screening analyst calls with listed companies for potential inside informationDaiwa Asset ManagementAn AI system operating since April 2026 extracts potentially material nonpublic information from analysts' calls with listed companies and presents it for specialist review.Production · reported stage
DocumentOn advertising-compliance review of investment-fund monthly reportsDaiwa Asset ManagementDocumentOn began operating in October 2025 to review advertising in monthly reports. AI flags assertive claims, solicitation wording and missing mandatory disclosures for specialist judgment.Production · reported stage
AI voice surveillance for market misconductDeutsche BankTranscribes communications for compliance surveillance.Production · reported stage
Heimdall fit-and-proper assessmentECBMachine reading translates appointment questionnaires and flags potential suitability issues for supervisors.Production · reported stage
Athena supervisory document analysisECBSupervisors translate, analyse and question inspection documents with source-linked generated answers.Production · reported stage
AI-assisted escheatment monitoring and data preparationEisenEisen uses AI for regulatory-change monitoring and account-data normalization within escheatment operations. Its May disclosure names Adyen, Binance.US, BitGo, OKX and PeoplesBank as customers.Production · reported stage
Eli Lilly automated patient narrativesEli LillyLilly deployed natural-language generation to draft patient narratives for clinical study reports.Production · reported stage
Consumer-law violation risk identificationFDICAI pattern analysis assists detection of potential consumer-law violations.Production · reported stage
Bank Examiner Search EngineFederal ReserveNLP retrieves original documents for bank examiners.Production · reported stage
Comment Review SystemFederal ReserveNLP groups and summarises regulatory comments, including duplicates; staff review complete comments.Production · reported stage
Supervisory review-letter statisticsFederal ReserveNLP measures letter length and financial-term frequencies to analyse supervisory documents.Production · reported stage
FedEx guides shipment descriptions and tariff-code selectionFedExFedEx launched integrated customs tools in Ship Manager. The chatbot asks for missing item detail and suggests tariff codes; lookup provides options with confidence scores and links to the official tariff schedule for customer selection.Production · reported stage
Agentic Sanctions Analyst alert preparationFNBOAI researches sanctions alerts and drafts structured evidence for human review.Production · reported stage
Supervised small-debt recovery from pre-action correspondence through trial preparationGarfield.Law LtdThe regulator describes client approval before each step, named solicitor accountability and no relevant-case-law proposals. A later provider case reports actual correspondence, proceedings, evidence and witness-statement/bundle preparation, with human barristers at trial.Production · reported stage
AI-assisted annual disclosure compliance reviewHKEXExchange staff use AI to assess reports against listing-rule disclosure requirements.Production · reported stage
AI prioritization of market-surveillance alertsHKEXPrioritizes alerts for investigations.Production · reported stage
Annual Report Explorer disclosure guidanceHKEXAI search helps issuers prepare annual reports and users navigate disclosures.Production · reported stage
EY/IBM tax data reconciliation and invoice-validation agentsIBMIBM Tax built a controlled AI tax data lake and is deploying agents that validate invoices against ERP transactions, reconcile data and escalate judgment-sensitive work.Production · reported stage
Digital Gateway tax knowledge and company-document researchKPMGKPMG professionals and clients use Digital Gateway with integrated GenAI to query company documents and tax knowledge with citations.Production · reported stage
Regulation Sync sustainability-disclosure gap assessmentKPMG AustraliaKPMG sustainability specialists use Regulation Sync to assess AASB S2 disclosure gaps and receive cited source passages.Production · reported stage
Tax Classifier self-service tax-data classificationKPMG AustraliaKPMG Australia's register identifies an internal self-service tax classification tool using ML, NLP and GenAI.Production · reported stage
Evidence chronology and precedent-grounded legal draftingLopezmarquésLawyers use Harvey to analyze matter documents, reconstruct transaction chronologies and prepare first drafts from internal precedents. The vendor describes completed asset-transfer and corporate-transaction examples with lawyer review.Production · reported stage
Maersk reads trade documents and screens compliance populationsMaerskIn a WTO case based on written company responses, Maersk describes deployed document reading, declaration creation, HS-code proposals and population-level risk screening. Trade experts verify classifications; other outputs prioritize risk review. Natural-language LLM tools remain in development.Production · reported stage
Merck clinical-study-report first draftsMerck / MSDLLMs and table preprocessing support CSR drafting under medical-writer oversight; live reports were submitted.Production · reported stage
Nasdaq U.S. market surveillance pattern detectionNasdaqUses AI and transfer learning to improve market-abuse alert review.Production · reported stage
Novo Nordisk structured regulatory-document authoringNovo NordiskIn-house AI authoring creates structured trial, study and stability documents using defined content rules.Production · reported stage
Hui Xiaomiao large-model automated internal-audit reviewPing An BankPing An Bank's Q1 2025 report states that its internal audit and control function uses the Hui Xiaomiao audit large model for automated examination, supporting compliance-risk warning and prevention.Production · reported stage
ChatNational accounting and audit research assistancePwC USPwC audit teams have ChatNational, which answers accounting, audit and reporting questions using Viewpoint and returns related resources.Production · reported stage
Internal regulatory knowledge retrievalRaiffeisen SwitzerlandRAG answers staff questions about bank policies and procedures with links to source documents.Production · reported stage
Expense policy review and exception escalation agentsRampAgents interpret uploaded expense policies, approve low-risk spend, flag exceptions and answer policy questions within Ramp.Production · reported stage
Machine-learning electronic communications compliance reviewRaymond JamesRaymond James reports that machine-learning algorithms reduce false positives in its electronic-communications review system, reducing messages requiring manual compliance review.Production · reported stage
Roche clinical-study-report draftingRocheRoche's conference presentation identifies GenCSR among internal AI applications, generating CSR drafts from protocols and tables.Production · reported stage
Sanofi manufacturing quality-report draftingSanofiSanofi automates extraction, synthesis and analysis to draft annual Product Quality Reports and related manufacturing documents.Production · reported stage
Potential insider-trading detectionSECAI flags suspicious trades for expert investigation.Production · reported stage
SGX RegCo AI surveillance filteringSGXLearns trading patterns to isolate unusual activity for surveillance-team review.Production · reported stage
Centralized investor AML and client risk reviewsWaystoneWaystone deployed AI-powered Fenergo CLM and KYC for its AML Centre of Excellence, consolidating investor/client reviews, sanctions screening and know-your-asset work into auditable risk assessments and client reports.Production · reported stage
WeBank LLM regulatory-policy interpretationWeBankWeBank reports using large language models to internalize external regulations and improve policy communication.Production · reported stage
Traceable AI-assisted food-import compliance checksADAFSAADAFSA's food-import pilot applies selected machine-readable policies to routine compliance assessments. Outputs link to governing rules and officials retain accountability.Pilot · reported stage
Véridic life-insurance product complexity assessmentAutorité de contrôle prudentiel et de résolutionVéridic extracts life-insurance product characteristics from key information documents with an LLM and classifies product complexity for supervisory attention.Pilot · reported stage
Regensburg GenAI4Q creates vehicle-specific inspection plansBMWBMW's Regensburg pilot combines vehicle configuration with live production data to create an ordered inspection catalogue for each vehicle. Specialists conduct the checks in a smartphone app; speech recording is transcribed into standardized finding codes.Pilot · reported stage
Issuer-risk prioritisation and key-audit-matter classificationCONSOBCONSOB’s platform uses ML anomaly detection to group potentially risky issuers and trials text classification linking key audit matters to accounting standards.Pilot · reported stage
Multimodal LLM triage of potentially illegal investment/crypto offersCONSOBCONSOB describes LLM analysis of complaints and selected IOSCO I-SCAN entries, extracting structured evidence from text and visuals; results are checked against human analysis.Pilot · reported stage
FX derivatives regulatory-reporting anomaly detectionCrédit Agricole Corporate and Investment BankA multilayer-perceptron autoencoder was evaluated against one-class SVM and Isolation Forest to detect cross-field anomalies in historical FX derivatives reports, with business-user pilot feedback.Pilot · reported stage
GenAI supervisory-assessment pilotHKMAHKMA reports a pilot using generative AI in supervisory assessments alongside its broader digital-supervision programme.Pilot · reported stage
GenAI internal-audit document and trade-data testing pilotMUTB London BranchMUTB London's internal audit team ran side-by-side GenAI and conventional analyses with PwC on policy/procedure documents and investment-trade data.Pilot · reported stage
OCBC WhisperOCBCTranscribes contact-centre calls and detects sales-call anomalies.Pilot · reported stage
Nasdaq AI market-abuse detection pilotSaudi CMAPilot tests anomaly detection for market manipulation investigations.Pilot · reported stage
Internal audit data analysis assistantBBVASupports data validation, tests, code and result interpretation under auditor oversight.Not assessed · reported stage
AISE retail-payment supervisory analysis experimentBISA synthetic-data experiment compares machine-readable reports, knowledge graphs, deterministic analysis and constrained AI synthesis for supervision.Not assessed · reported stage
AI Trade Surveillance SystemBNP ParibasBNP Paribas uses AI to monitor trading activity for compliance with market abuse regulations across its global markets division. The system applies machine learning to detect patterns of suspicious trading, improve alert quality, and adapt to evolving regulatory requirements.Not assessed · legacy label
Consumer-complaint analysis initiativeCFPBAI-assisted complaint analysis was planned for staff.Announced · reported stage
Global Trade risk-analytics compliance reviewCitigroupAI scoring compares trade-transaction data to help identify potential compliance concerns.Announced · reported stage
Olympus supervisory cockpit AI searchECBA planned cockpit incorporates AI search and querying across supervisory resources.Announced · reported stage
Credit-report extraction for fair-lending examinationsFDICPlanned AI extraction supports examiners' fair-lending analysis.Announced · reported stage
Oasis semantic supervisory searchFederal ReserveSemantic retrieval is being developed to find documents missed by keywords.Announced · reported stage
Pre-inspection document anomaly reviewFINMAA local GenAI prototype flags passages for inspection; a second model checks evidentiary support before staff review.Not assessed · reported stage
Insider-trading pattern and relationship analysisFINMAFINMA is developing supervised-learning and network-analysis tools for suspicious trading and information-flow reconstruction.Announced · reported stage
Multi-instrument AI surveillance modelsFINRAFINRA developed two AI models within its cross-market surveillance programme.Not assessed · reported stage
Morgan Stanley AI Compliance MonitoringMorgan StanleyMorgan Stanley uses AI to monitor employee communications and trading activity for compliance with financial regulations. The system analyzes emails, chat messages, and voice recordings to detect potential policy violations and regulatory breaches across the firm.Not assessed · legacy label
Planned examiner guidance and document assistantOCCGenAI is planned for guidance retrieval and bank-document risk analysis.Announced · reported stage
Federal accounting policy alignmentPBGCPlanned GenAI compares agency policies with federal financial-management guidance.Announced · reported stage
PGGM mandatory-participation employer identificationPGGMA compliance tool helps identify employers potentially subject to mandatory scheme participation.Not assessed · reported stage
Supervisory unstructured-document analysisPRACloud AI is being developed to extract supervisory insights from text documents.Announced · reported stage
AI Regulatory ReportingState StreetState Street deploys AI to automate regulatory reporting processes for itself and its institutional clients. The system extracts data from multiple sources, validates accuracy, and generates compliant regulatory reports, reducing manual effort and improving reporting timeliness.Not assessed · legacy label
UBS AI Regulatory Change ManagementUBSUBS uses NLP and AI to monitor and interpret regulatory changes across multiple jurisdictions. The system automatically identifies relevant regulatory updates, assesses their impact on business operations, and routes them to appropriate compliance teams for action.Not assessed · legacy label