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The MiFID II Compliance Agent by 4th-IR is a UiPath-based automation solution designed to enhance regulatory compliance operations within financial services. It leverages AI and automation to transcribe call recordings and assess compliance with the MiFID II (Markets in Financial Instruments Directive) regulatory framework. The solution removes manual effort, ensures consistency, and scales effortlessly to handle both single and bulk compliance reviews.

**Business Problem**

Traditionally, compliance officers manually review call recordings to evaluate adherence to MiFID II obligations. This process is time-consuming, error-prone, and difficult to scale—especially when dealing with hundreds of calls. The MiFID II Compliance Agent eliminates these inefficiencies using an automated AI-driven solution.

**How It Works**

Users can select between single or multiple file processing modes via UiPath Apps. Audio files are transcribed using a speech-to-text model. The transcriptions are then analyzed by an AI model that classifies each call as *Compliant*, *Partially Compliant*, or *Non-Compliant*, based on regulatory criteria. The results are stored in an Excel file and visualized in the UiPath interface for easy review and reporting.

**What You Get**

- A fully automated UiPath workflow
- Speech-to-text transcription for .wav, .mp3, and other formats
- AI-based classification of call transcripts
- UiPath Apps front-end for file input and result display
- Excel output for compliance documentation and reporting
- Error handling and logging for unsupported formats or failures

**Who It's For**

This solution is designed for:

- Compliance teams in financial institutions
- Internal audit and legal departments
- Call center quality assurance leads
- Automation COEs seeking regulatory support solutions

**Deployment**

This solution is deployed and configured by 4th-IR. After purchase, our team will contact you to set up the automation in your UiPath environment, customize it to your needs, and walk you through the usage.

Automates MiFID II compliance checks using speech-to-text and AI models for classifying call recordings as compliant, partially compliant, or non-compliant, right from UiPath Apps.

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The MiFID II Compliance Agent by 4th-IR is a UiPath-based automation solution designed to enhance regulatory compliance operations within financial services. It leverages AI and automation to transcribe call recordings and assess compliance with the MiFID II (Markets in Financial Instruments Directive) regulatory framework. The solution removes manual effort, ensures consistency, and scales effortlessly to handle both single and bulk compliance reviews.

**Business Problem**

Traditionally, compliance officers manually review call recordings to evaluate adherence to MiFID II obligations. This process is time-consuming, error-prone, and difficult to scale, especially when dealing with hundreds of calls. The MiFID II Compliance Agent eliminates these inefficiencies using an automated AI-driven solution.

**How It Works**

Users can select between single or multiple file processing modes via UiPath Apps. Audio files are transcribed using a speech-to-text model. The transcriptions are then analyzed by an AI model that classifies each call as *Compliant*, *Partially Compliant*, or *Non-Compliant*, based on regulatory criteria. The results are stored in an Excel file and visualized in the UiPath interface for easy review and reporting.

**What You Get**

- A fully automated UiPath workflow
- Speech-to-text transcription for .wav, .mp3, and other formats
- AI-based classification of call transcripts
- UiPath Apps front-end for file input and result display
- Excel output for compliance documentation and reporting
- Error handling and logging for unsupported formats or failures

**Who It's For**

This solution is designed for:

- Compliance teams in financial institutions
- Internal audit and legal departments
- Call center quality assurance leads
- Automation COEs seeking regulatory support solutions

**Deployment**

This solution is deployed and configured by 4th-IR. After purchase, our team will contact you to set up the automation in your UiPath environment, customize it to your needs, and walk you through the usage.

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DocExtract AI is an AI-powered automation solution designed to simplify and accelerate Know Your Customer (KYC) and Know Your Business (KYB) compliance workflows.

The solution automates the classification, data extraction of key business documents, especially from sources like Commercial Registers. It significantly reduces manual work and ensures greater accuracy and compliance with industry and regulatory standards.

Organizations that rely on document verification for onboarding, compliance, and due diligence can now streamline operations with DocExtract AI, improving both efficiency and risk mitigation.

DocExtract AI automates the classification and extraction of KYC/KYB business documents, reducing manual effort and enhancing compliance accuracy for financial institutions and regulators.

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The **Collateral Registry Document Intelligence Tool** is an AI-powered automation solution that simplifies the processing of collateral-related documents. It classifies and extracts key data from documents like **loan agreements**, **land deeds**, **vehicle registrations**, and **building certificates**, and exports the results into a structured **Excel file** for easy review and integration.

An AI-powered automation solution that classifies and extracts key data from collateral-related documents and exports the results into structured Excel files for review and integration.