The business
Our client is a Northeast-based financial printer and SEC filing agent. It prepares and files financial and regulatory reports for corporate issuers, fund and asset managers, and structured product issuers. Its mission is to deliver every filing on time and right the first time.
The challenge
Older ways of filing in a tightly regulated business
Fixed deadlines, no room for error
Each filing has a set due date. One error can mean a corrected filing and a client who loses trust.
Older tools and manual steps
Filings were prepared on older tools, with hand-offs between teams at each step.
Checks done by hand
Reviewers compared each filing with its source data by hand before it was submitted.
Rules and volumes keep changing
New SEC forms and formats arrive regularly, and filing volumes kept rising.
The solution
What we delivered
- Modernize the filing toolsDone
- Automate the checksDone
- AI agents on selected filingsLive
- A modern filing platform
- Filings prepared, checked and submitted in one place, in the formats the SEC requires, with fewer hand-offs between teams.
- Automated data checks
- Each filing is checked against its source data before it goes out, so errors are caught before the client or the SEC sees them.
- Ready for new rules
- New SEC forms and formats are added to the platform as they arrive.
- AI agents for selected filings and checks
- AI agents now prepare some filings and run some checks. A person on the client's team approves each one before it is submitted.
- A record of every step
- Every check and every change is logged, so the team can show how each filing was prepared.
Results
The outcomes
Higher quality and compliance
Fewer corrections after filing, because each filing is checked against its source data before it goes out.
Clients who stay
Client retention, with filings right the first time and delivered on deadline.
Faster revenue
Faster from receiving a client's data to submitting the filing, so the client bills sooner for each one.
More work, same team
More filings handled by the same team, with less manual work at each step.
What’s next
With the foundation in place, more filing types and checks will move to AI agents, each one approved by the client's team before it is submitted.