Compliance annotation
Suitability and restriction checks are logged with client and policy citations before market release.
Security & architecture briefBanking
Compliance pre-trade check
Screen every client and discretionary order against suitability, restrictions, and market-abuse rules before release to market, built for banks and wealth managers.
The challenge
Wealth and private banking desks must clear each order against client risk profiles, investment mandates, restricted lists, and MiFID-style conduct rules before it hits the market. Checks span CRM, portfolio systems, and compliance tools; under volume, advisors escalate late exceptions and audit evidence lives in email.
How Lunnoa runs it
- 1
Ingest
Pull the documents, events, or system records that start this process.
- 2
Analyse
An AI agent ingests orders from your OMS or wealth platform, reads client suitability and mandate data, runs restricted-list and sanctions checks, and applies your pre-trade policy for advisory and discretionary books.
- 3
Decide or escalate
Clear cases continue under policy; exceptions go to a person with a structured pack.
- 4
Write back and prove
Update systems of record and keep an attributable trail for review.
Systems touched
- OMS
- wealth platform
- CRM
- restricted lists
In the product
Step-by-step agent behaviour
Pull the documents, events, or system records that start this process.
Outcomes
- Pre-trade compliance on every order without slowing the desk
- Consistent suitability and restriction checks across advisors
- Faster exception handling with full client and policy context
- Audit-ready trail from order intent to market release
More in Banking
AI-powered loan origination and credit assessment
BankingAutomate document collection, financial spreading, and credit memo generation, reducing origination from weeks to days.
weeks → daysTransaction monitoring and fraud alert triage
BankingReview flagged transactions, cross-reference customer and transaction history, and escalate only genuine alerts, reducing false-positive workload by 60%.
hours → minsRegulatory reporting and Basel / DORA compliance
BankingAutomatically collect, validate, and package regulatory data across systems, producing audit-ready reports for Basel III, DORA, and MiFID II on schedule.
days → hours
Built for teams that already take infrastructure seriously.
- CTOs and platform teams evaluating fit with your reference architecture
- Security and compliance reviewing data residency and access control
- Operations teams that need attributable runs, not black-box automation
- Builders who want unlimited usage under a flat licence