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Injecting AI into Financial Investigations

By Ryan Reeves, Executive Vice President Litigation and Investigation Solutions

UnitedLex’s First Look Investigations leverages Artificial Intelligence to bring speed, actionable intelligence, and savings to financial and regulatory investigations.

While no one fully knows what 2021 will hold, it is widely expected that we will see more active regulatory enforcement under the Biden administration this year and beyond. This, in turn, will require renewed vigilance in implementing a wide variety of internal controls to help mitigate and manage risk—whether it be reputational, financial, or legal—while maintaining the trust of customers.

When an investigation arises, the faster you gather actionable intelligence and identify the magnitude of potential harm, the more effective your response will be. This includes the ability to mitigate risk and the potential consequences to your business and stakeholders.

Speed wins when it comes to investigations

First Look Investigations finds the answers to questions that arise in your internal investigation significantly faster than traditional, review-based investigations at a reduced spend. First Look is an AI-enabled process specifically designed for fact and data discovery that enables important, time sensitive decisions about the scope and strategy of the investigation.

First Look has been put to the test on matters involving a wide range of regulatory and enforcement agencies, including the DOJ, FBI, SEC, NYAG, CFTC, and FTC. Pairing this proprietary technology with expert talent and refined processes results in a fully defensible method that identifies key information quickly, efficiently, and accurately.

Expert teams work hand-in-hand with AI

The foundation of First Look is a global network of nearly 500 financial services professionals, comprised of a preeminent group of Ph.D. mathematicians, engineers, computer and data scientists, and electronic discovery specialists. These experts have worked with dozens of financial industry clients delivering:

  • 108TB of data ingested

  • 96 million documents analyzed

  • 94% AI-enabled review avoidance

  • Top 1% of most critical evidence surfaced in days

How do we perform this work at speed?

To get our results so quickly, UnitedLex utilizes a variety of technical accelerators specifically designed for financial services companies. These include a repository of thousands of terms, concepts and AI models uniquely constructed and tested to potential violations issues related to:

  • AML

  • Antitrust/Competition

  • FCPA

  • Financial and Accounting Information


  • SARS

  • Securities

Today, an investigation demands not just thoroughness but speed. First Look significantly reduces the time and expense of financial and regulatory investigations while quickly enabling important decisions about the scope and strategy of your investigation.

If you are ready to learn more about using AI in financial investigations, read more at our Financial & Banking investigations web page.

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