Develop plugins for each role
Configure dedicated interfaces, information and tools around the working practices of advisers, researchers, compliance staff and operations teams.
FinAIOS • Securities sector solutions
Connect advisory, research and compliancePut AI to work across securities operations
Connect client accounts, research materials, business knowledge and system tools to role-specific agents for brokerage, wealth, research, institutional services and operations teams. Use a dedicated AI workspace for client analysis, document preparation, content review and task handling, improving service efficiency while protecting data.
Operational information and systems
Internal business resources
Client accounts Research information Business interface
FinAIOS
Role-based agents · Enterprise knowledge
Business skills · Task execution
Employee workspaces
Part of everyday work
• Compliance and operation
Centralized enterprise control
FinSAFE execution protection / FinGuard action governance / Manual audit and audit
Core banking workflows
Built around each role
Support core securities workflows
Build enterprise AI workspaces for client services, research, compliance reviews and internal operations.
Client Manager Fortune Team
Gather customer and account information, prepare for every service.
Combine client information, account changes, communication history and institutional research to prepare client profiles, follow-up events and conversation outlines. Keep track of service progress.
Client analysis and service opportunities
Summarize accounts, holdings, risk preferences and communication history to identify client needs and follow-up actions.
Visits and communication materials
Use client context and product information to prepare meeting outlines, market commentary and service materials.
Follow-up logs and discs
Organize service notes and follow-up tasks. Update CRM after confirmation and track progress.
Clients are ready to visit.
- Source information
- Client information, accounts and holdouts, historical communication, product knowledge.
- Processing steps
- Summarize account highlights, organize demand and communication outlines
Working outputs
- Summary of clients and accounts
- List of communications priorities and information
- Client follow-up pending confirmation
View verification material to confirm customer contact and CRM update
Role-specific workspaces
A dedicated workspace for securities roles
Build role-specific plugins for client services, research and business review, connected to knowledge bases, data APIs and tools. Employees can access information, review content and handle work in one application without repeatedly switching systems.
One software completes all the work.
Employees view business records, add information and review results. Agents assist using the same task context.
Centralized management and updates
Build an enterprise-owned FinDesk client and centrally maintain branding, plugins, runtimes and updates.
Business processes and system access
Connect existing business systems
Complete tasks and archive results
Connect existing systems through APIs, MCP and authorized tools. Combine enterprise knowledge and role-specific skills for information processing, employee review and business updates.
Client and account systems
CRM, client service history, account information and holdings support client analysis and follow-up.
Research and knowledge resources
Research reports, disclosures, market data, news and policy knowledge bases support retrieval, citation and consistency checks.
Office and research and development tools
Connect office automation, email, enterprise messaging, repositories and CI/CD for task handling and cross-team collaboration.
Security and operational governance
Data security controls
Agent actions with approval and traceability
Manage execution environments, business actions and content review separately. Apply file permissions, approvals and processing records to specific tasks.
FinSAFE
File and execution protection
Define accessible directories, permitted tools, network destinations and resource limits. Apply enterprise security requirements to agent processes.
- Limited access to documents, networks and tools
- Managing operational resources and implementation records
FinGuard
Business-action authorization and approval
Check permissions and approvals before CRM updates, message delivery and internal API calls. Centrally manage business credentials and duplicate requests.
- Approve critical business actions before execution
- Verification of results of implementation and avoidance of duplication
Business review and audit
Material and process traceability
Link information sources, skill versions, review comments and execution results. Investment decisions, suitability reviews and trading continue to follow existing institutional rules and professional processes.
- Keep source references and human review records
- Review approvals and results by task
FDE delivery
Built on FDE delivery experience
Implement AI in securities workflows
Drawing on FDE delivery experience, work with business, IT and compliance teams around the company's actual workflows. Configure knowledge, connect systems, set security policies and validate pilots so AI delivers practical business value.
Explore FDE delivery- 01
Select roles and workflows
HF tasks, internal information, systems and receiving and inspection targets are collated.
- 02
Configure knowledge and skills
Collating business knowledge, operating methods, verification rules and output templates.
- 03
Connect systems and permissions
Completion of interfaces, workstations, security policy and approval nodes configuration.
- 04
Validate the pilot and hand over
Validation of results by real business assignments, from product delivery to value creation.
YOUR NEXT STEP
Discuss securities AI solutions
Put enterprise AI into practice
Discuss product combinations, pilot workflows and implementation around your teams, processes and existing systems.
Securities solutions
Frequently asked questions
What kind of scenario can securities institutions start with?
Start with frequent tasks such as meeting preparation, research organization, content checks or financial reconciliation. Select a pilot based on available information, APIs and responsibilities. Define inputs, outputs and review requirements, then expand to more roles.
How can existing CRM, accounts and research systems be connected?
Use APIs, MCP or authorized tools to access data and business operations. Organize existing interfaces as workspace plugins, maintain knowledge and methods in knowledge bases and skill catalogs, and route critical writes through the action gateway for checks and records.
How is the content of the resulting investments or studies reviewed?
Link materials to the information, citations and rules they use. Business staff verify data, conclusions and wording through existing review and publishing processes. Configure human confirmation and approvals before messages are sent or systems updated.
Can it be deployed in the securities institution ' s own environment?
Configure models, knowledge, runtimes and APIs on the institution's private network, in its data center or in a private cloud. FinSAFE manages execution environments and FinGuard governs business actions. FDE teams support workflow mapping, system integration, pilot acceptance and operational handover.