Finance & Financial Services¶

Archivus transforms how financial institutions manage regulatory documents, client portfolios, and compliance workflows.

Industry Challenges¶

Regulatory Burden¶

Financial services face unprecedented documentation requirements:

• SEC filings and disclosures
• SOX compliance documentation
• AML/KYC verification records
• Audit trail requirements
• Cross-border regulatory variance

Information Silos¶

Critical data trapped across systems:

• Client relationship documents in CRM
• Trading records in order management
• Compliance documents in email
• Research in analyst workstations

Time-Sensitive Operations¶

Markets move fast; document processing can't slow decisions:

• Earnings release analysis
• Contract review for deals
• Regulatory response deadlines
• Client reporting cycles

How Archivus Helps¶

Regulatory Compliance Automation¶

graph LR
    A[SEC Filing] --> B[AI Classification]
    B --> C[Change Detection]
    C --> D{Material Change?}
    D -->|Yes| E[Compliance Review]
    D -->|No| F[Archive]
    E --> G[Memo Generation]
    G --> H[IC Briefing]

Automated Regulatory Monitoring:

• Continuous ingestion of regulatory filings
• AI-powered change detection vs. prior periods
• Material change flagging with human review
• Audit trail for examination readiness

Client Document Management¶

Organize client relationships with intelligent document handling:

Investment Research Integration¶

Connect research documents to actionable insights:

• Extract entities from research reports (companies, sectors, themes)
• Link related research across analysts
• Surface relevant prior research when viewing new reports
• Grounded Q&A against research library

Use Cases¶

Asset Management: Due Diligence¶

Challenge: Investment committee needs rapid due diligence on potential investments.

Solution:

1. Upload company documents (financials, pitch deck, legal)
2. Automated extraction of key metrics and terms
3. AI research on company background and market
4. Comparison against portfolio company benchmarks
5. Investment memo generation with citations

Result: Due diligence prep from 2 weeks to 3 days.

Wealth Management: Client Onboarding¶

Challenge: KYC documentation scattered across email, forms, and legacy systems.

Solution:

1. Unified document intake (upload, email, scan)
2. AI classification of document types
3. Automated extraction of client data
4. Workflow routing for compliance review
5. Deficiency tracking and client follow-up

Result: Onboarding time reduced 60%, compliance coverage improved.

Regulatory Reporting: SEC Examination¶

Challenge: SEC examination requests require rapid document production.

Solution:

1. AI-powered search across all documents
2. Relevant document identification based on request
3. Privilege review workflow
4. Production package generation
5. Complete audit trail of production

Result: Examination response from weeks to days.

Compliance Features¶

Audit Trail¶

Every document interaction logged:

• Who accessed what, when
• Search queries and results
• Document modifications
• Export and download events

Retention Policies¶

Configure retention by document type:

• Regulatory minimums (7 years for many financial records)
• Legal hold support
• Automated deletion with approval workflow
• Retention exception handling

Access Controls¶

Granular permission management:

• Role-based access by team function
• Document-level permissions
• Time-limited access grants
• External sharing with watermarking

Integration Ecosystem¶

Trading & Order Management¶

• Bloomberg Terminal integration
• Trade document linking
• Order ticket attachment

CRM & Client Management¶

• Salesforce document sync
• Client relationship views
• Meeting note integration

Portfolio Systems¶

• Holdings document correlation
• NAV document processing
• Statement generation

Compliance Platforms¶

• Workflow integration
• Alert document attachment
• Case file building

Security & Compliance¶

Data Protection¶

Regulatory Alignment¶

• SEC Rule 17a-4: Electronic record retention
• SOX Section 404: Internal controls documentation
• MiFID II: Record-keeping requirements
• FINRA: Books and records rules

Getting Started¶

Quick Wins¶

1. Regulatory Monitoring: Automate SEC filing ingestion and change detection
2. Client Documents: Centralize account documentation with AI organization
3. Research Library: Make analyst research searchable and connected

Implementation Path¶

Next Steps¶

• Request a Demo - See Archivus for financial services
• Enterprise Features - Deployment and security options
• Compliance - Security certifications