Financial Services Use Case

How financial services firms use Archivus for due diligence, compliance, and regulatory reporting.

Overview

Financial services firms handle sensitive documents: contracts, financial statements, compliance reports, regulatory filings. Archivus helps financial teams:

  • Due diligence - Analyze documents for M&A and investments
  • Compliance - Track regulatory requirements and filings
  • Risk management - Identify risks in contracts and agreements
  • Audit trails - Complete document access and modification history

Key Use Cases

Due Diligence

Challenge: Reviewing hundreds of documents during M&A or investment due diligence.

Solution: Upload all documents and use AI to analyze:

from archivus import ArchivusClient

client = ArchivusClient(api_key="YOUR_API_KEY", tenant="finance-firm")

# Create due diligence workspace
dd_workspace = client.workspaces.create(
    "Acme Corp - Due Diligence Q4 2025",
    description="Due diligence documents for acquisition"
)

# Upload all documents
documents = [
    "financial-statements.pdf",
    "contracts-agreements.pdf",
    "compliance-reports.pdf",
    "legal-documents.pdf"
]

uploaded_docs = []
for doc in documents:
    result = client.documents.upload(
        doc,
        workspace_id=dd_workspace.id,
        enable_ai=True,
        tags=["due_diligence", "acme_corp", "Q4_2025"]
    )
    uploaded_docs.append(result.id)

# Create multi-document chat session
session = client.chat.create_session(
    document_ids=uploaded_docs,
    name="Due Diligence Analysis"
)

# Ask comprehensive questions
questions = [
    "What are the key financial risks identified in these documents?",
    "Are there any compliance issues or regulatory concerns?",
    "What are the key contractual obligations and liabilities?",
    "Are there any material contracts expiring soon?",
    "What are the key financial metrics and trends?"
]

for question in questions:
    response = client.chat.ask(session.id, question)
    print(f"\nQ: {question}")
    print(f"A: {response.content}")
    print(f"Confidence: {response.confidence:.2f}")

Benefits:

  • Faster analysis - Review documents in hours, not weeks
  • Comprehensive insights - AI analyzes all documents together
  • Risk identification - Automatically identify risks and issues
  • Consistent reporting - Standardized due diligence reports

Compliance Management

Challenge: Tracking regulatory requirements and ensuring compliance.

Solution: Use semantic search and AI to find compliance documents:

# Find all compliance-related documents
compliance_docs = client.search.search(
    query="regulatory compliance documents and filings",
    mode="semantic",
    tag_id="tag_compliance"
)

# Find documents by regulation
sox_docs = client.search.search(
    query="Sarbanes-Oxley compliance documents",
    mode="semantic"
)

gdpr_docs = client.search.search(
    query="GDPR compliance and data protection documents",
    mode="semantic"
)

# Track compliance deadlines
upcoming_deadlines = client.search.search(
    query="compliance filings and reports due soon",
    mode="semantic",
    date_start="2025-12-01",
    date_end="2026-01-31"
)

Benefits:

  • Easy discovery - Find compliance documents instantly
  • Deadline tracking - Never miss a compliance deadline
  • Audit ready - Complete document history for audits

Financial Document Analysis

Challenge: Extracting key information from financial statements and reports.

Solution: Use AI to analyze financial documents:

# Upload financial statement
document = client.documents.upload("Q4-2025-financial-statement.pdf")

# Wait for processing
document = client.documents.wait_for_processing(document.id)

# Extract financial data
session = client.chat.create_session(document.id, "Financial Analysis")

financial_questions = [
    "What is the total revenue?",
    "What are the key expenses?",
    "What is the net profit margin?",
    "Are there any unusual items or one-time charges?",
    "What are the key financial trends?"
]

for question in financial_questions:
    response = client.chat.ask(session.id, question)
    print(f"{question}: {response.content}")

Benefits:

  • Quick extraction - Extract key metrics instantly
  • Trend analysis - Identify trends across documents
  • Anomaly detection - Find unusual items automatically

Risk Management

Challenge: Identifying risks in contracts and agreements.

Solution: Use AI to analyze contracts for risks:

# Upload contract
contract = client.documents.upload("service-agreement.pdf")

# Analyze for risks
session = client.chat.create_session(contract.id, "Risk Analysis")

risk_questions = [
    "What are the key financial risks in this contract?",
    "Are there any penalty clauses or liquidated damages?",
    "What are the termination risks?",
    "Are there any unfavorable payment terms?",
    "What are the liability and indemnification risks?"
]

risks = []
for question in risk_questions:
    response = client.chat.ask(session.id, question)
    if response.confidence > 0.7:
        risks.append({
            "question": question,
            "answer": response.content,
            "confidence": response.confidence
        })

# Generate risk report
print("Risk Analysis Report")
for risk in risks:
    print(f"\nRisk: {risk['question']}")
    print(f"Details: {risk['answer']}")
    print(f"Confidence: {risk['confidence']:.2f}")

Benefits:

  • Risk identification - Automatically identify contract risks
  • Consistent analysis - Same risk criteria for all contracts
  • Risk scoring - Confidence scores indicate risk level

Real-World Example

Investment Firm: Capital Partners

Challenge:

  • Managing due diligence for 20+ deals per year
  • Reviewing 500+ documents per deal
  • Compliance tracking across multiple regulations
  • Risk assessment for investment decisions

Solution with Archivus:

  • Created workspace for each deal
  • Uploaded all due diligence documents
  • Used multi-document chat for comprehensive analysis
  • Tagged documents by compliance requirement

Results:

  • 70% faster due diligence process
  • 90% reduction in missed compliance items
  • Improved risk assessment with AI-powered analysis
  • Better investment decisions with comprehensive insights

Essential

  • Document upload and organization
  • Multi-document analysis
  • Semantic search
  • AI chat for document Q&A
  • Workspace collaboration
  • Document comparison
  • Compliance tracking
  • Audit logging

Advanced

  • Custom AI agents for financial workflows
  • Integration with financial systems
  • Advanced analytics and reporting
  • AI traffic logging (Team/Enterprise)

Pricing

Financial services firms typically use:

  • Pro Plan ($99 CAD/month) - For small firms
  • Team Plan ($249 CAD/month) - For medium firms
  • Enterprise Plan (Custom) - For large firms with compliance requirements

Next Steps

Questions? Contact support@ubiship.com or sales@ubiship.com