FOR FCA-REGULATED ADVICE & WEALTH FIRMS
Get AI built for the FCA, not around it.
We review the AI your firm already uses, write guidance that fits FCA rules and Consumer Duty, and build agents for defined advice workflows, with an adviser accountable for every output.
We turn AI into working systems for advice firms, wealth managers and family offices, designed around FCA rules, Consumer Duty and UK GDPR.
Where the week gets stuck
- Suitability paperwork is heavy: reports and records are manual, repetitive and slow to produce to the standard you need.
- Consumer Duty raises the bar: evidencing good outcomes and monitoring them takes time the team does not have.
- Reviews eat adviser hours: preparing client review packs pulls advisers away from actual advice.
- Tooling raises hard questions: generic AI tools create real data, confidentiality and compliance headaches.
What we put to work
- Suitability-support agent: drafts and checklists that evidence the advice, prepared for an adviser to review and own.
- Consumer Duty assistant: surfaces gaps in records and outcomes monitoring before they become a problem.
- Client review agent: prepares review packs and plain-English summaries from your existing systems.
- A written AI policy: approved tools, what client information may go into them, and who signs off before anything reaches a client.
HOW WE WORK TOGETHER
How the work runs
- Start with an audit: what AI is already in use, what client information it can reach, and which uses need attention first.
- Agree the guidance: an AI policy written against FCA rules, Consumer Duty and UK GDPR, with named owners and a review date.
- Build one agent: one advice workflow, connected only to the systems you approve, with an adviser reviewing every output.
- Scope, responsibilities and price are agreed in writing before any work begins.
How do you handle FCA requirements?
We build around FCA rules and Consumer Duty, with human sign-off and a record of what the system did. The system prepares and evidences; your people decide, and regulatory responsibility stays with the firm.
Can client data stay inside our own systems?
We agree which systems the work may reach before anything is built, review the supplier terms and settings behind each tool, and design approval points so confidential client data is not handled by a tool the firm has not approved.
Will it make advice decisions?
No. It drafts, checks and evidences. Advisers make the decisions and remain accountable.
How do we start?
With an AI audit, then a short pilot on one workflow, quoted in writing before we begin.
START HERE
Tell us where you are.
You don’t need a technical brief. A few sentences about your tools, your team or the task that takes too long is enough to begin.
Talk to us about regulated advice & wealth
We use your details to reply to this enquiry. Scope, responsibilities and price are agreed in writing before any work begins.
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