Solutions · Regulated industries
The audited AI platform
for financial services.
RIAs, broker-dealers, banks, insurers, accounting firms, and fintech platforms. AI for disclosure drafting, KYC summarization, and policy review — with an audit chain that answers SEC, FINRA, OCC, and state insurance regulators before they ask. The same governance platform that serves healthcare, applied to financial supervision and recordkeeping rules.
Built-in compliance
Every action logged. Every log verifiable. By anyone.
- Audit chain is recordkeeping-grade — SEC Rule 17a-4, FINRA Rule 4511, and state insurance recordkeeping rules satisfied by the same export your internal compliance team uses. Download a sample audit export before you sign anything.
- GDPR, CCPA, and CPRA compliance is built into the platform — subject access requests, data portability, and processing records handled at the infrastructure layer, not bolted on per-tenant.
- US-hosted; non-US data residency available on Enterprise by written addendum, documented before you sign.
What teams use HASP for
The workflows that brought you here.
Disclosure and regulatory filing drafts
Form ADV updates, Form CRS, prospectus revisions, and Regulation Best Interest disclosures — drafted from prior versions and source materials with every AI suggestion logged. Each revision is hash-chained; the chain proves which content was AI-drafted and which was attorney-reviewed.
KYC, AML, and customer due-diligence summarization
Compile sanctions screening hits, adverse-media findings, and PEP-status checks into a structured due-diligence memo. The audit chain captures the inputs, the AI's narrative, and the analyst's edits — exactly the recordkeeping FinCEN and your state regulator want.
Customer-communication and complaint-response drafting
Standardized first-draft responses to customer complaints, FINRA inquiries, and regulatory examination requests. Every communication signed into the audit chain — the recordkeeping obligation under SEC Rule 17a-4 and FINRA Rule 4511 is satisfied by the same export your auditors can verify independently.
Policy and procedure summarization
Internal compliance manuals, BSA programs, cybersecurity policies — AI condenses long documents for line-of-business staff training, with citations back to source policy paragraphs. Every summary version-controlled in the audit chain.
API embedding for compliance-tech SaaS
Embed HASP's API into your own product. Pass-through trust artifacts — signed audit exports, DPA, sub-processor list — give your financial-services customers' security reviewers what they need up front, without a months-long procurement fight.
The HASP platform, on this surface
Product surfaces that matter most for financial services.
Product
Chat & documents
A HIPAA-ready chat interface and document analysis tool for your whole team. Ask questions, get summaries, upload files — all with PHI scanning built in and every action on your audit trail.
View Chat & documents →Product
API
Add HIPAA-compliant AI to your own software. Drop in your existing AI SDK code, get PHI controls and a full audit trail enforced at the gateway — your integration stays clean.
View API →Product
Audit & Trust
A tamper-evident record of every action across every surface — signed, chained, and independently verifiable. The thing procurement teams stop scrolling for.
View Audit & Trust →See it end-to-end
Workflows that map to financial services.
Scenario
KYC review memo
AI-drafted due-diligence memos with the analyst's approval recorded — exported as a signed record examiners verify themselves.
Walk through kyc review memo →Scenario
Compliance export
Signed audit export your examiner can verify on their own machine.
Walk through compliance export →Try it before you commit to anything.
Talk to us — we'll stand up an evaluation on non-patient data so you can try every surface: AI chat, document analysis, the API, the internal app builder. When your organization is ready to work with real records, countersign the BAA in-app.