AI for ad review, disclosure documents,
and AML checks.
Automate financial product advertising review, Important Information Sheet consistency checks, and transaction monitoring with supporting evidence.
Use existing review rules as-is|Supports closed internal networks|Start with one department or product
Representation Checklist
6 checksThis fund selectively invests in growth sectors. Because prices will continue to rise, assets can grow steadily without risk of principal loss…
- Applicable rule
- FIEA Art. 38(ii)
- Source comparison
- Potential regulatory conflict
- AI confidence
- 92%
- -80%
- Review effort for ads and sales materials
- 95%+
- Decisions with supporting evidence
- Same day
- Firmwide rollout of review criteria
From upload to final decision, people focus only where needed
AI handles review point extraction and evidence citation, while people focus on final review of high-attention items.
Upload Existing Documents
Import ad drafts, delivery documents, and transaction data directly as PDF or Excel files.
AI Extracts Review Points
Automatically identifies required checks and supporting evidence from laws, association rules, and internal policies.
Decide with Evidence
Classify items as compliant, non-compliant, or needing review while citing the relevant clauses and guidelines.
Human Review and Finalization
Compliance staff review only the high-attention items. Results are recorded automatically as an audit trail.
See financial institution checks in realistic screens
Ad review, disclosure documents, and AML: explore labor-intensive financial institution review workflows through realistic product screens.
Advertising and Sales Material Representation Check
Automatically checks ads, flyers, and web banners submitted by branches and product teams against the Financial Instruments and Exchange Act, the Premiums and Representations Act, and association rules. It flags which wording may violate which rule, with supporting evidence.
Common Challenges
- Reviews cannot keep up with promotional materials submitted by every branch
- Judgment on unacceptable wording varies by reviewer
- Conclusive claims or missing risk disclosures are discovered after publication
Applicable Laws and Rules
Representation Checklist
6 checksThis fund selectively invests in growth sectors. Because prices will continue to rise, assets can grow steadily without risk of principal loss…
- Applicable rule
- FIEA Art. 38(ii)
- Source comparison
- Potential regulatory conflict
- AI confidence
- 92%
Potential conflicts and low-confidence findings appear first. Click a row to open the relevant wording and supporting rule in place.
Broad coverage for financial institution laws, rules, and internal standards
Bring in the standards used for review as-is, from laws and association rules to your own internal review criteria.
Advertising and Solicitation
- Financial Instruments and Exchange Act
- Premiums and Representations Act
- JSDA Advertising Guidelines
Disclosure and Delivery Documents
- Important Information Sheet
- Pre-contract Document
- Prospectus / Investment Report
AML and Counter-Terrorist Financing
- Act on Prevention of Transfer of Criminal Proceeds
- FATF Recommendations
- Sanctions lists, including OFAC
Governance and Internal Policies
- Principles for Customer-Oriented Business Conduct
- Internal policies and manuals
- Anti-social forces and complaint handling standards
We can also support laws and internal standards beyond those listed above. Existing review criteria can be imported as-is.
"During peak periods, we could not keep up with reviews of ads and flyers coming from every branch. Each finding includes the underlying legal clause, so explaining returns is smoother and reviewer-by-reviewer inconsistency has disappeared."
Company names are anonymized by industry and scale due to confidentiality obligations. Detailed implementation cases are available in individual consultations.
Start with one ad or delivery document and confirm the impact.
Bring your existing promotional materials or delivery documents, and we will demo the actual decision screen. We also support closed internal environments and on-premises deployment.
Trial can start as soon as the same day|ISO/IEC 27001-compliant foundation