Semarize
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SolutionFinance

Compliance-grade intelligence
for regulated conversations

Financial services conversations are high-stakes and heavily regulated. Semarize evaluates every interaction for disclosure compliance, suitability requirements, and conduct risk - returning structured, auditable signals.

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Industry challenges

Regulated conversations
demand structured evidence

Financial regulators require demonstrable compliance. Manual review of a sample of calls doesn't meet the standard that FCA, SEC, and MiFID II expect.

Regulatory scrutiny is increasing

FCA Consumer Duty, MiFID II, SEC regulations - all require firms to demonstrate they're acting in clients' best interests. Proving this from conversation data requires structured evidence.

Suitability assessment is manual

Advisors must assess client suitability before recommending products. Verifying this happened consistently across thousands of calls requires more than spot-checking.

Disclosure requirements are strict

Risk warnings, fee disclosures, and product limitations must be communicated. Missing a single required disclosure on one call can trigger regulatory action.

Conduct risk is hard to detect

Pressured selling, misleading claims, and inappropriate advice are conduct risks that sampling-based QA frequently misses.

Use cases

Key use cases for
financial services

Financial services firms use Semarize for compliance monitoring, quality assurance, and structured data extraction from client conversations.

QA & Compliance

Evaluate every client interaction for disclosure compliance, suitability, and conduct risk. Evidence-backed audit trails for regulators.

Customer Success

Detect dissatisfaction, churn risk, and growth signals from client review meetings. Track relationship health with structured data, not gut feel.

Sales Coaching

Score advisory conversations for quality, not just compliance. Measure client engagement, need identification, and recommendation quality.

Data Science

Feed structured compliance and interaction data into your risk and analytics platforms. Build predictive models for conduct risk.

How Semarize fits

Semarize meets
financial services requirements

Built for regulated environments. API-first, with no data warehousing. Your data stays in your infrastructure.

Compliance platform feeds

Push structured evaluation results to your compliance monitoring system. Automated flagging of interactions that require human review.

Data sovereignty

Semarize processes conversations and returns structured results without storing your data. No data warehousing, full data sovereignty.

Audit-ready evidence

Every evaluation includes evidence spans mapping results to exact transcript text. Ready for regulatory review without additional preparation.

Recording platform agnostic

Process recordings from Verint, NICE, Calabrio, or any call recording platform. Semarize evaluates content from any source.

Bricks & Kits

Example Bricks for
financial services

Industry-specific Bricks evaluate the dimensions that matter for financial services & insurance companies. Bundle them into Kits to create reusable evaluation frameworks.

risk_warning_given
boolean

Required risk warning was communicated to the client

→ true
suitability_assessed
boolean

Advisor assessed client suitability before recommendation

→ false
fee_disclosure
boolean

All applicable fees and charges were disclosed

→ true
pressured_selling
boolean

Indicators of pressured or aggressive selling detected

→ false
client_understanding
boolean

Advisor confirmed client understood the product/risk

→ true
vulnerable_customer_flag
boolean

Indicators of customer vulnerability detected

→ false

FCA Consumer Duty Kit

kit

Evaluate every interaction against Consumer Duty requirements.

risk_warning_givenboolean
suitability_assessedboolean
fee_disclosureboolean
client_understandingboolean
pressured_sellingboolean
vulnerable_customer_flagboolean

Output

Structured signals, not summaries

Every evaluation returns deterministic JSON with typed values, reasons, and evidence spans. Same schema every time.

FCA Consumer Duty evaluation
{
  "run_id": "run_mno345",
  "status": "succeeded",
  "output": {
    "bricks": {
      "risk_warning_given": {
        "value": true,
        "confidence": 0.94,
        "reason": "Capital at risk warning provided before recommendation",
        "evidence": ["...I should mention that your capital is at risk and you may get back less than you invest..."]
      },
      "suitability_assessed": {
        "value": false,
        "confidence": 0.91,
        "reason": "No suitability questions asked before product recommendation",
        "evidence": []
      },
      "pressured_selling": {
        "value": false,
        "confidence": 0.88,
        "reason": "No indicators of pressured selling detected",
        "evidence": []
      }
    }
  }
}

Compliance at scale.
Evidence on every call.

Evaluate every client conversation against regulatory requirements. Structured signals with audit-ready evidence trails.

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