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Analysis, news and practical guides for compliance, quality and risk teams in regulated financial services.
Two-way integration provides intelliflo users with quality of advice AI analysis
Recordsure’s Document Intelligence integration with intelliflo office supports final advice reviews by analysing quality, compiling records, updating client files and escalating cases where human oversight is needed.
How financial advisers can embrace the evolving landscape
Panel takeaways on AI in financial advice stress human verification, clear AI policies, support for vulnerable customers and accurate records across adviser conversations.
How AI can improve financial advice compliance
Financial advice firms need evidence that ongoing advice, servicing and review activity meet regulatory expectations. Recordsure technology combines captured conversations and document review to build customer timelines, identify missing evidence and support outcome judgements.
Recordsure launches free AI meeting notes
Recordsure launched a free AI meeting notes solution for clients and released open-source Microsoft Azure OpenAI code. The launch sets out the productivity case, human validation requirement and cost context for generated meeting notes.
The 2¢ AI summary meeting note
GPT-based meeting summaries can be cheap to generate, but every output must be verified by a human before client action. Generative summaries differ from predictive AI that can find, classify and evidence source content.
How to utilise RegTech for the provision of ongoing advice services
Firms facing scrutiny over ongoing advice services can use data sourcing, AI document classification, workflow and review expertise to evidence whether agreed services were delivered.
Almost three quarters of financial advisers understand the significance of incorporating AI
The intelliflo adviser survey shows appetite for AI alongside a significant skills gap. AI can reduce administrative burden where it structures and analyses existing advice data.
Recordsure partners with Iress to deliver a unique AI solution for financial services businesses
Recordsure and Iress announced a collaboration that brings Recordsure Document Intelligence to Xplan users. The partnership is designed to support wealth management firms with advice monitoring, review evidence and process efficiency.
Motor insurance firms are advised to utilise their data to better demonstrate customer outcomes
The FCA reviewed how motor insurance firms value stolen or written off vehicles and highlighted weaknesses in claims handling evidence. Recordsure links customer interaction data and MI to outcome monitoring.
Recordsure and intelliflo expand RegTech collaboration to Australian market
Recordsure expanded its collaboration with intelliflo to Australia by adding Document Intelligence to the intelliflo store for Australian clients. The existing intelliflo office relationship gives wealth management firms access to Recordsure’s speech and document tools.
FCA Business Plan: Regulator steps up tech focus for 2024/25
The FCA’s Business Plan for 2024/25 restates its focus on financial crime, consumer needs and wholesale market strength. Firms should expect continued attention on vulnerability, Consumer Duty and technology-supported oversight.
Consumer Duty: increasing data oversight is key for effective outcomes monitoring
The FCA’s Consumer Duty publications and speeches underline that firms need evidence, not repackaged data, to show customer outcomes. Boards should assess what MI is needed for customer-centric governance.
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The latest announcements, regulatory developments and company updates.
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In-depth analysis on regulation, AI, oversight and customer outcomes for regulated firms.
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Proven outcomes in practice
Major UK retail bank
Improving oversight and QA across mortgage advice
Read case study: Improving oversight and QA across mortgage advice
Major UK Tier 1 bank
Improving QA oversight and reporting across business banking conversations
Read case study: Improving QA oversight and reporting across business banking conversations
Government Department — UK
Digitalising interview recording to reduce cost and improve efficiency.
Read case study: Digitalising interview recording to reduce cost and improve efficiency.