AI to Support Oversight in the Financial Services Industry

Use Case

Financial Services

The Challenge

A major financial market supervisory authority identified a need to streamline the process of verifying licenses for financial brokerage firms. The main challenge lay in managing the large number of complaints that required complex investigations to determine whether a firm was actually authorized to conduct its business. The goal was to overcome the complexities of manually collecting diverse information by automating the analysis of data from both received reports and external web channels, to ensure timely and accurate responses to the supervisory commission.

The Solution

The project involved the development of an Intelligent Crawler based on advanced artificial intelligence models and crawling and scraping tools for automated data collection. The proposed architecture integrates the retrieval of information from company websites with cross-checks against institutional databases. This innovative approach enables the system to automatically generate a detailed analysis report, providing the supervisory commission with the necessary information to issue the certification decree authorizing the company in question.

The Benefits

The implementation of this tool provides essential support for the commission’s strategic decisions, improving the accuracy of investigations by offering a comprehensive and timely view of the data. The automation of the workflow drastically reduces investigation times and enables more effective management of the volume of complaints, thereby raising the standards of market monitoring and protection.

Humanativa’s role

HUMANATIVA designed and implemented the entire analytical model and data processing workflows, integrating AI technologies with the client’s existing infrastructure. Thanks to its specialized expertise in data scraping, the Group has launched a highly accurate system, with further developments already planned to expand its intelligence capabilities even further.