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š° OnFinance AI Monthly Compliance Intelligence Brief
Built for Compliance Officers. Trusted by Risk Teams. Empowering Auditors.
Anuj Srivastava
May 20, 2025
Indiaās regulatory landscapeāguided by SEBI, RBI, and global standardsāis becoming increasingly complex, real-time, and data-driven. At OnFinance AI, weāve built an ecosystem of 70+ AI-powered Investigative Agents tailored to the operational realities of:
Banks & NBFCs
Mutual Funds & AMCs
Brokerage Houses
Stock Exchanges
Depositories
Fintech platforms
Each AI agent is regulation-aligned, auditor-traceable, and seamlessly deployable within your existing IT and audit frameworks. Our platform is already powering compliance automation at NSE, SBI MF, Nippon MF, ICICI, Kotak MF and top brokerages.
šØ What Are Investigative AI Agents?
These are domain-trained Generative AI agents that automate high-risk and high-volume compliance functions like:
Market abuse monitoring
Insider trading surveillance
Circular/regulation interpretation
Risk-based due diligence
AML pattern tracing
Conduct audits
Regulatory reporting
They analyze voice, text, trade data, emails, filings, internal documents, and even public data (like social media), ensuring explainable compliance outputs with audit trails.
š§ Sample Categories of Our 70+ AI Agents
1. Market Surveillance & Investor Protection
Detect market manipulation, insider trading, pump-and-dump schemes, and conduct breaches:
V2T AI Module
AI Agent | Key Use Case | Regulatory Mapping |
|---|---|---|
V2T Market Abuse AI | Voice-based trade surveillance in AMCs & brokers | SEBI Circular on Surveillance |
Insider Trading Surveillance AI | Tracks insider activity via trades + communication | SEBI PIT Regulations |
Market Manipulation Detection AI | Algorithmic detection of order book spoofing, layering | SEBI Market Abuse Framework |
Communication Surveillance AI | Email/chat/call monitoring for unauthorized disclosures | SEBI Risk Management Guidelines |
Social Media Monitoring AI | Flags manipulative narratives across forums | SEBIās 2023 Surveillance Guidance |
2. Conduct Risk & Internal Controls
Empowers internal audit and vigilance teams to proactively monitor unethical staff activity.
AI Agent | Key Use Case | Regulatory Mapping |
|---|---|---|
Employee Trading Surveillance AI | Monitors personal trading accounts | SEBI, RBI Internal Codes |
Front Running Detector AI | Flags early trades by employees before major market moves | SEBI Circular 2022 |
Research Analyst Compliance AI | Validates regulatory adherence in equity research | SEBI RA Regulations |
Communication Pattern Analysis AI | Traces behavioral shifts and red flags in internal comms | Board-approved Risk Controls |
3. Intermediary Compliance & AML Monitoring
Automate third-party surveillance, AML triggers, and broker governance:
AI Agent | Key Use Case | Regulatory Mapping |
|---|---|---|
Broker Compliance AI | Checks for margin misuse, order misreporting | SEBI Broker Regulations |
MFD Due Diligence AI | Auto-verifies MF distributorsā KYC, certifications | SEBI Circulars 2022-24 |
Investment Adviser Surveillance AI | Detects unauthorised investment solicitations | SEBI IA Framework |
AML Risk Scoring AI | Assigns transaction-level risk scores with pattern detection | RBI/SEBI AML-PMLA Framework |
4. Regulatory Intelligence & Document Compliance
Converts regulatory communication into actionable workflows:
LODR Reg AI Module
AI Agent | Key Use Case | Regulatory Mapping |
|---|---|---|
LODR Compliance AI | Converts SEBI LODR circulars into checklists | SEBI LODR 2023 |
DRHP Compliance AI | Validates IPO filings against SEBI format | SEBI ICDR Regulations |
Circular Tracker AI | Centralizes all SEBI/RBI circulars by theme, assigns owners | SEBI Governance Mandates |
Data Retention Compliance AI | Aligns firm-wide document retention with SEBI/IRDA/RBI norms | IT & Governance Laws |
šÆ Why BFSI Institutions Choose OnFinance AI
Trained on Regulatory Corpus (SEBI, RBI, AMFI, Exchanges)
Customizable LLMs via NeoGPT for each function/team
Explainable AI with audit trail, PDF-backed outputs
Voice, Text, Document, API Ready: Integrates with existing GRC and trade platforms
Enterprise-Grade Security and flexible cloud deployment (including on-premise)
š Schedule a Demo or Compliance Workshop
If youāre from the Compliance, Risk, Audit, or Surveillance Team, weād be glad to show you:
Live agent walkthroughs (voice, filings, trade data)
How we benchmark against manual workflows
Deployment within 2ā4 weeks across departments
š§ Write to: [email protected]
š± Call/WhatsApp: +91 72330 89282
š Website: onfinance.ai
š¢ Company: OnFinance AI | Mumbai, India
Letās simplify compliance. Together.
Warm regards,
Team OnFinance AI