FCA Compliance · AI-Powered · Financial Advice

Compliance file review, done properly

Integrity automates the review of financial advice files against FCA standards — so your compliance team spends less time on paperwork and more time on what matters.

Request access See how it works
Minutes Not days — to review a file
FCA-aligned COBS, PROD & Consumer Duty
RAG rated Red · Amber · Green per file
Word & PDF Reports ready to file

What Integrity does

Built for compliance teams at financial advice firms

Upload your client files, Frank reviews them, you sign off. It’s that simple.

Automated file review
Upload up to 40 documents per case. Frank reads, extracts, and reviews every page against FCA rules — in minutes.
Consumer Duty aligned
Every review checks the four Consumer Duty outcomes — products & services, price & value, consumer understanding, and consumer support.
RAG-rated findings
Each file is rated Red, Amber or Green with section-by-section findings and prioritised remedial actions — urgent through low.
Word & PDF reports
Every completed review generates a formatted Word document ready for your file, plus a printable PDF version for sign-off.
Firm & user management
Create firms, assign reviewers and supervisors. Supervisors see all reviews for their firm. Full audit trail per review.
Secure by design
UK-hosted on AWS (eu-west-2). MFA enforced. Documents encrypted at rest and in transit. No data leaves the UK.

Outcome ratings

Every file gets a clear verdict

Frank assesses the advice file and returns an overall RAG rating with a written justification — ready for your reviewer to confirm.

GREEN
Suitable and well evidenced
The advice appears suitable based on the information provided. No material gaps or concerns identified.
AMBER
Cannot determine suitability
Key information is missing or unclear. Suitability cannot be confirmed without further evidence or clarification.
RED
Demonstrably unsuitable
The advice appears unsuitable on the face of the file. Immediate remedial action is required.

How it works

From upload to sign-off in three steps

No training required. No configuration. Upload your documents and Frank does the rest.

01
Upload the advice file documents
Drag and drop up to 40 PDF, Word or scanned documents — the suitability report, fact find, client agreement, product illustrations and any other supporting documents. Integrity reads them all.
02
Frank reviews against FCA standards
Frank — Integrity’s AI compliance reviewer — extracts the key information, reviews the file section by section against FCA COBS requirements and Consumer Duty, identifies gaps, and generates a detailed written report with a RAG rating and prioritised remedial actions.
03
Reviewer signs off and downloads
Your compliance reviewer reads Frank’s findings, optionally adjusts the rating, adds notes, and completes the review. A formatted Word report is available to download instantly for your files.

Meet Frank

Your AI compliance reviewer, always on

Frank is Integrity’s built-in AI reviewer — powered by Claude (Anthropic) via AWS Bedrock and trained on FCA guidance. Frank works through every file methodically, checks every section, and never has a bad day.

  • Reviews pension switches, drawdown, and investment advice cases
  • Checks COBS suitability, disclosure, and Consumer Duty outcomes
  • Identifies missing documents and flags document quality issues
  • Generates prioritised remedial actions — Urgent, High, Medium, Low
  • Provides regulatory references at section level for every finding

“Having Frank review files means our compliance team focuses on edge cases and judgement calls — not reading through 30-page suitability reports to check the basics.”

— Compliance Director, financial advice firm
F
Frank
AI compliance reviewer
Online
Latest review
R0000042 AMBER
Suitability Report.pdf and 6 other documents
Submitted 17 Jun 2026 at 14:23
F Reviewed by Frank
2 hours ago

✓ Frank reviewed 7 documents across 4 sections

3 findings · 1 HIGH action · 2 MEDIUM actions

Get in touch

Request access or find out more

Integrity is currently available to selected financial advice firms. If you’d like to see a demo or discuss whether it’s right for your firm, get in touch and we’ll come back to you within one business day.

United Kingdom
UK data residency · AWS eu-west-2

We’ll respond within one business day. Your details are never shared.