The client is a UK financial planning firm. Their advisors prepare personalised reports for every client — annual reviews, portfolio summaries, suitability assessments. Each report needs to meet FCA regulatory standards.
The problem wasn't the advice — the advisors were excellent. The problem was the paperwork. Each report took 2-3 hours to compile manually. Pull portfolio data from one system. Check market performance in another. Format everything into a compliant template. Cross-reference disclosures. Get sign-off from a senior advisor.
During peak periods — annual review season, market corrections — the backlog became unmanageable. Advisors were working evenings and weekends just to stay current on reports. The actual advisory work suffered.
And then there was the compliance risk:
The firm needed a system that could generate reports in minutes instead of hours, ensure every report met FCA standards automatically, and create an audit trail that regulators could inspect without the firm scrambling to reconstruct history.
We designed the compliance engine first — mapping every FCA requirement, every suitability criterion, every required disclosure — before writing a single line of report generation code.
The result is a four-layer platform where the AI handles compilation and formatting, compliance validation runs automatically, advisors retain full editorial control, and every decision is logged permanently.
““The passion the team showed for our project was genuinely impressive. A platform our clients trust every day.”
— Projects Manager, Financial Planning Firm · Verified on Clutch
The firm's advisors use this platform every day. All report templates, compliance rules, and approval workflows are fully owned and configurable by the firm. No dependency on KORIX for changes, updates, or ongoing operation.
Every month without automated reporting, your advisors are choosing between compliance quality and client face time. They shouldn’t have to make that choice.
The initial report templates were too rigid. We built them around what we thought advisors needed, not how they actually worked. After the first week of production use, we rebuilt three of the four template types based on advisor feedback. Starting with a lighter template and iterating would have saved that rework.
The compliance validation rules were comprehensive from day one — that part we got right. But the advisor review interface should have been simpler. We over-designed the approval screen with too many options. Advisors just needed approve, reject, and edit. The streamlined version came in sprint 3.
For regulated industries, we’d now recommend a two-week compliance-first discovery phase before any build work. It would have caught the template issues earlier.
Have more questions? Book a free 30-minute call and we will answer them honestly.
Book a call →Yes — when designed with compliance as the foundation, not a feature. KORIX builds AI reporting systems with FCA suitability checks, required disclosures, and human review workflows from day one. Every report is validated before it reaches the client.
No. The AI handles data compilation, formatting, and compliance validation. Advisors review, edit, and approve every report. The AI frees them to spend more time on actual advice — the work their clients are paying for.
Every report version — the AI draft, advisor edits, senior approval — is stored in an immutable database. Nothing is overwritten or deleted. Regulators can trace any report from final delivery back to source data, instantly.
The system connects to your existing portfolio management tools, market data feeds, and client records. No manual data entry — the AI pulls structured data automatically and compiles it into compliant templates.
Yes. Advisors can edit AI-generated reports, add personal commentary, and adjust recommendations. Every change is versioned — the system preserves both the AI draft and the advisor's final version.
Through the KORIX 21-Day AI Pilot, a governed reporting prototype can be in advisor hands within 3 weeks. Full enterprise rollouts typically run 8-12 weeks depending on report complexity and compliance requirements. Learn about the Pilot →
Yes. Built for UK regulated financial services — encryption at rest and in transit, role-based access controls, and immutable audit logging. Every access event is recorded.