Available on IBM watsonx Orchestrate
Regulatory & Compliance · FinCompliance AI

Regulatory reporting, covered.

In plain English: A regulatory-compliance platform for financial firms — SEC reporting, AML/KYC screening, trade surveillance, market-abuse detection and sanctions checks, with an immutable audit ledger across 30+ jurisdictions.

How to use it →See capabilities
0.04%
SEC CAT error
3,162×
faster AML
30+
jurisdictions
7-yr
WORM ledger
↳ Every figure is measured — see the live IBM Heron receipts →
What it does

Regulatory Intelligence.

FinCompliance AI handles the heavy lifting of financial regulation — filing, screening, and surveillance — and keeps a tamper-proof record that meets SEC and FINRA retention rules.

Capabilities

What you can ask it to do.

Each capability is available the moment you add FinCompliance AI to your watsonx Orchestrate workspace — just ask in plain language.

SEC CAT reporting
Files Consolidated Audit Trail reports at a 0.04% error rate.
capability
MiFID II compliance
Keeps trading aligned to MiFID II obligations.
capability
AML screening
Screens for money-laundering risk far faster than classical methods.
capability
KYC validation
Validates know-your-customer records.
capability
Trade surveillance
Watches trading for abuse and manipulation.
capability
Market-abuse detection
Flags suspected market abuse for review.
capability
Regulatory filing
Prepares and submits regulatory filings.
capability
Audit-trail management
Maintains an immutable, retention-compliant audit trail.
capability
Suitability checks
Confirms recommendations are suitable for the client.
capability
Sanctions screening
Checks counterparties against sanctions lists.
capability
How to use it

Three steps in watsonx Orchestrate.

1
Add the agent
In watsonx Orchestrate, open the agent catalog and add FinCompliance AI to your workspace. No setup or code required.
2
Ask in plain language
Type what you need in the Orchestrate chat — FinCompliance AI picks the right capability automatically. No commands to memorize.
3
Get a sealed result
You get your answer plus a tamper-evident record you (or an auditor) can verify independently.
Example — type this in Orchestrate
"Screen this new counterparty for AML and sanctions risk before we onboard them."
What comes back — Returns a clear risk rating with the matches that drove it — and a sealed record for your audit file.
Need a hand?
Talk to the team that built it — quantdev@epochcoreqcs.com
Support hours
9am – 6pm EST · Mon–Fri
Standards & compliance

Built to the standards your team answers to.

FinCompliance AI is designed to support the regulations and standards relevant to regulatory & compliance. Confirm applicability with your own compliance team.

SEC 17a-4FINRA 4370MiFID IISOC2 Type IIISO 27001