FilingsIQ
Grounded Q&A over regulated finance compliance, policy, and filing documents to help teams retrieve accurate answers while reducing unsupported model responses.
The Problem
“Grounded compliance Q&A and reporting across regulated finance documents”
Organizations face these key challenges:
Compliance knowledge is fragmented across internal and external repositories
Manual review of long financial and regulatory documents is time-intensive
Teams struggle to reconcile overlapping or conflicting jurisdictional rules
Unsupported LLM responses are unacceptable in regulated workflows
Audit trails for AI-assisted outputs are often incomplete or manual
Reporting demand scales faster than specialist compliance headcount
Versioning and document freshness are difficult to manage across filings and policies
Impact When Solved
The Shift
Human Does
- •Search policy manuals, compliance documents, and filings for relevant information
- •Review long document sections to interpret applicable guidance
- •Compile answers from approved sources and share them with requesters
- •Escalate ambiguous or sensitive questions to compliance or legal experts
Automation
- •Return keyword-based document lists from repositories
- •Match exact terms without understanding policy intent or context
- •Surface large volumes of potentially relevant documents
- •Provide limited metadata or links to source files
Human Does
- •Approve responses for sensitive, ambiguous, or high-impact compliance questions
- •Review cited evidence when confidence is low or sources conflict
- •Decide final interpretations when policy language requires judgment
AI Handles
- •Retrieve and rank relevant passages from approved compliance and filing documents
- •Generate concise answers grounded only in cited source evidence
- •Ask clarifying questions or abstain when support is insufficient
- •Track source provenance, document versions, and response audit history
Operating Intelligence
How FilingsIQ runs once it is live
Humans set constraints. AI generates options.
Humans choose what moves forward.
Selections improve future generation quality.
Who is in control at each step
Each column marks the operating owner for that step. AI-led actions sit above the divider, human decisions and feedback loops sit below it.
Step 1
Define Constraints
Step 2
Generate
Step 3
Evaluate
Step 4
Select & Refine
Step 5
Deliver
Step 6
Feedback
AI lead
Autonomous execution
Human lead
Approval, override, feedback
Humans define the constraints. AI generates and evaluates options. Humans select what ships. Outcomes train the next generation cycle.
The Loop
6 steps
Define Constraints
Humans set goals, rules, and evaluation criteria.
Generate
Produce multiple candidate outputs or plans.
Evaluate
Score options against the stated criteria.
Select & Refine
Humans choose, edit, and approve the best option.
Authority gates · 1
The system must not issue a final interpretation of ambiguous policy or regulatory language without review and approval from a designated compliance or policy owner. [S1][S3]
Why this step is human
Final selection involves taste, strategic alignment, and accountability for what actually moves forward.
Deliver
Prepare the selected option for operational use.
Feedback
Selections and outcomes improve future generation.
1 operating angles mapped
Operational Depth
Technologies
Technologies commonly used in FilingsIQ implementations:
Key Players
Companies actively working on FilingsIQ solutions:
Real-World Use Cases
AI-generated SFDR Good Governance reports for investment portfolios
An AI agent gathers public information about companies, checks whether their governance practices meet SFDR expectations, and writes a report that investment teams can file or use in disclosures.
Cross-jurisdiction regulation mapping for global compliance
Citi wants AI to read laws and regulations from many countries and create a map showing what rules the bank needs to follow in each place.
Books-and-records logging for AI-driven recommendations and decisions
When AI helps make a recommendation or decision, firms should keep a trail showing what happened so they can explain it later.
Summarization of financial information and documents
AI reads long documents and gives a shorter version so people can understand the main points quickly.
Emerging opportunities adjacent to FilingsIQ
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