Compliance-grade Statements of Advice, drafted by AI
Prior work · financial advisory (client confidential)
An AI financial adviser that gathers client details and drafts ASIC-compliant Statements of Advice.
An AI adviser that interviews clients over several sessions, looks up the relevant Australian regulatory guidance as it works, and drafts a structured Statement of Advice on industry templates.
Prior work. A system our engineers delivered in an earlier or concurrent role. The client is confidential, and it isn't presented as a MAUK client project.
- What it is
- AI system
- Industry
- Financial services & FinTech
- Status
- In production
- Year
- 2025
Prior work · client confidential
Financial services & FinTech
The client's system is not shown
The problem
What needed solving
Statements of Advice are long, regulated documents. Advisers spend hours assembling them from client conversations and regulatory guidance, and every section must follow the rules.
The solution
What the team built
A conversational intake that gathers the client's circumstances step by step, then drafts the advice document section by section against the current rules.
Core functionality
- Client interviews carried across several sessions
- Regulatory guidance looked up for every section
- Statements of Advice drafted on industry templates
Business impact
What it achieved
50%
less manual preparation time
From two engineers' CVs.
What sets it apart
Why it works
- 01
Rules looked up, not remembered
The adviser consults the actual regulatory guidance while drafting, instead of relying on what an AI model happens to know.
- 02
Built like an adviser works
Client details are gathered progressively over several conversations, the way a human adviser would.
Services
Where this work fits
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