Global Investment Firm

Transforming regulatory research with generative AI for faster, smarter compliance insights

The Challenge

Financial analysts at a global investment firm were spending countless hours combing through lengthy regulatory filings—like 10-Ks, earnings reports, and compliance documents—to extract key financial metrics, disclosures, and risk factors. This manual process not only consumed time but also introduced the risk of human error and inconsistency.

Our Approach

We built a custom AI-powered research workspace designed to read, interpret, and
summarize high-volume regulatory content. Leveraging techniques like natural language understanding and retrieval-augmented generation (RAG), the system could extract relevant sections, answer complex queries in natural language, and highlight key differences between filings over time.
Our user interface was tailored for finance teams—enabling document uploads,
keyword-based highlights, auto-tagging of financial entities, and instant summarization of core insights. We also implemented compliance-aware filtering to ensure regulatory
relevance.

Stats

Reduction in document review time with automated extraction and summarization

Improvement in analyst productivity across quarterly filing cycles

Fewer reporting inconsistencies due to AI-driven compliance checks

The Outcome

By automating the tedious, we empowered analysts to operate at their highest level of insight.

Our Expertise

Case Study

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