Governance, examined case by case
Anonymised and named studies of what failed, what was done about it, and the measurable outcome.
Rebuilding Evidence Collection at a Broking Group
Evidence for regulatory obligations was spread across three business lines, four shared drives and a spreadsheet index maintained by two people.
The group consolidated obligations into a single control register, assigned named owners, and automated evidence capture from source systems into a governed repository.
Evidence retrieval moved from weeks to hours, and the compliance team redirected effort from assembly to review.
- Ownership is the prerequisite for automation
- Retrieval time is the most honest compliance metric
- Consolidation before tooling
Closing the AI Governance Gap
AI models were being deployed across product and internal operations with no central register and no defined oversight thresholds.
An AI governance council was chartered, a model inventory was published with named owners, and human-oversight thresholds were defined per use case.
Every production model now has an owner, a review cadence and a documented oversight boundary.
- Count before you govern
- Thresholds must be explicit
- Vendor-embedded models belong in the register
Success stories
From 47 Spreadsheets to One Compliance System
47 spreadsheets, no single owner view, deadlines discovered late.
One obligation register, named owners, automated deadline alerts and a governed evidence store.
Missed internal deadlines fell to zero across two consecutive quarters and audit preparation time dropped sharply.
“We stopped arguing about which version of the tracker was correct. That alone changed the culture.” — Head of Compliance, Meridian NBFC (demonstration profile)
How an RIA Became Audit-Ready
Suitability rationale reconstructed manually before each review cycle.
Suitability evidence captured at the point of decision and indexed by client and date.
The firm completed its most recent compliance review with no documentation findings.
“The evidence now exists because of how we work, not because we prepared for a review.” — Principal Officer, Northstar Capital Advisors (demonstration profile)