AI Utilization from a Business Perspective: Compliance Checks in the Sales Activities of Financial Products

FRONTEO

In the sale of financial products, operating with the customer's interests as the top priority is becoming increasingly important. Based on the Financial Services Agency's "Principles for Customer-Oriented Business Operations," financial institutions and insurance companies are strongly required to practice fiduciary duty. Therefore, it is essential to establish a system that thoroughly implements monitoring in accordance with laws and internal regulations, ensuring compliance. This will enhance trust with customers and maintain the transparency and soundness of operations. In such an environment, FRONTEO's AI "KIBIT" analyzes daily reports and emails with customers, extracting not only compliance violations but also records that may contain unintended deficiencies. This supports reliable monitoring of sales activities on behalf of managers, thereby enhancing the reliability of operations.