AI Policy Templates
AI risk management and compliance
for financial institutions
AI Policy Engine
Proactive Compliance & Maximum Transparency
Leverage powerful AI analytics and specialized AI Policy Templates for efficient and secure implementation of MiFID II, FCA and Dodd-Frank.
- Automated compliance checks for reliable adherence to regulatory requirements
- AI-based quality management that improves process efficiency and enhances the objectivity of quality assessments
- Integrated AI risk management to reliably implement compliance and mitigate risks
Use responsible AI for maximum transparency and increased efficiency in compliance monitoring.
Live Webinar
AI Policy Templates
Maximum Transparency for Compliance with AI
Join us on April 9th for a webinar with the compliance recording experts Ralf Rösel and Britta Chiaia to learn how the AI Policy Engine and AI Policy Templates for MiFID II, FCA and Dodd-Frank, tailored to the needs of banks, can help you proactively and efficiently solve compliance challenges.
- April 09, 2025
- 4 PM (CEST) / 10 AM (EDT)
More Transparency and Proactive Compliance
with the AI Policy Engine powered by Azure
The AI Policy Engine utilizes Azure AI Services and Azure OpenAI, providing comprehensive transparency into all customer communications. Leveraging responsible AI from Microsoft, conversations are automatically analyzed, risks can be identified early, and potential violations can be detected.
Transcription and translation
Document conversations with automatic transcription and translation into 100+ languages.
Automatic categorization
Automatically categorize all communications according to their compliance relevance.
Compliance phrase spotting
Automatic search and display of keywords and adherence phrases.
Fraud detection and risk alerting
AI-powered detection of potential fraudulent behavior or threats, even in real-time.
AI Policy Templates
Ready-to-use policies to implement compliance regulations such as MiFID II, FCA, and Dodd-Frank.
Dashboards and Reporting
Dashboards with customized reporting and analysis.
Efficient Compliance with Preconfigured AI Policy Templates
The AI Policy Templates offer customized templates that are specifically tailored to the regulatory requirements of MiFID II, FCA and Dodd-Frank. With these AI-based templates, banks and financial institutions can continuously review their customer communications in line with current regulations. The ready-to-use compliance templates enable faster and more efficient implementation of company-specific compliance requirements, reduce risks and detect potential violations at an early stage.
Preconfigured and based on current laws
- Ready-to-use compliance templates for MiFID II, FCA & Dodd-Frank..
- Regular updates in the event of changes to legal provisions.
Compliance check
- AI automatically monitors every Teams conversation - without exception.
- Monitors in real time and gives indications of possible violations - no delays, no uncertainties.
AI Assistent
Summaries, sentiment analysis or open questions - all with the integrated AI assistant.
Dashboards and reporting
Customisable dashboards and reports for comprehensive analyses.
Seamless integration
Runs natively in Microsoft Teams and Copilot 365 - no additional tools required.
Ready-to-Use
Predefined templates for MiFID II, FCA, Dodd-Frank based on current regulations.
Up-to-Date
Regular updates in the event of changes to legal requirements.
Real-Time
Automated compliance checks and immediate alerts without delay.
AI Policy Templates
for Finance Needs
Legally compliant recording of customer communication fulfils legal requirements, but is often not enough to proactively identify potential risks. With the help of AI, fraud, violations and breaches of guidelines can be recognised in real time. With the AI Policy Engine and AI Policy Templates, you have full control over your compliance processes.
Elevate Compliance from Minimum Requirements to Proactive Risk Management
| Feature | Recording | Recording + AI | Recording + AI + AI Policy Templates |
|---|---|---|---|
| Compliant recording of meetings, voice, chat, video and screen sharing | ✓ | ✓ | ✓ |
| Geo-redundant recording architecture and encrypted storage | ✓ | ✓ | ✓ |
| Individual recording and archiving rules | ✓ | ✓ | ✓ |
| Individual user rights and access management | ✓ | ✓ | ✓ |
| Search and replay | ✓ | ✓ | ✓ |
| Reports and dashboards | ✓ | ✓ | ✓ |
| Transcription, translation and summary based on the content | x | ✓ | ✓ |
| Sentiment analysis and open questions about the conversation | x | ✓ | ✓ |
| Manual creation of policies | x | ✓ | ✓ |
| Detection of keywords, patterns and categorization of coversations | x | ✓ | ✓ |
| Automated Quality Management | x | ✓ | ✓ |
| Predefined policies based on the current MiFID II, Dodd Frank and FCA regulations | x | x | ✓ |
| Integration and control of internal compliance and quality guidelines | x | x | ✓ |
| Automatic detection of customer feedback | x | x | ✓ |
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