From research and advisory work to trade operations and surveillance, FAOS defines agents for securities firms around market structure, firm workflows and the regulations that govern them.
40 specialized capital-markets agents across brokerage, investment banking, asset management, wealth, operations, risk, compliance, and research.
Brokerage, advisory, and asset management margins are under pressure. Firms need more AUM, more research coverage, and more client touchpoints without growing headcount at the same rate.
Cost-to-serve rises while commission and advisory fees compress.
Analysts, advisors, and relationship managers lose hours gathering filings, earnings notes, market color, portfolio context, and client-ready commentary.
Signals decay quickly. A slow research-to-decision loop turns market opportunity into missed alpha.
Reconciliation, exceptions, corporate actions, margin checks, and settlement workflows still rely on manual triage across fragmented systems.
Back-office friction becomes client risk, regulatory risk, and avoidable operating expense.
Best execution, trade surveillance, suitability, AML, foreign ownership, and regulator examination readiness require consistent documentation and fast escalation.
Manual surveillance cannot keep pace with market volume, product complexity, and regulator expectations.
One workflow, mapped
We map one high-value workflow: brokerage exceptions, advisor productivity, research coverage, trade surveillance, or IPO readiness.
One team, human-gated
Configure a focused team around that one workflow. Keep humans in the loop where regulation, investment judgment, or client impact requires approval.
Firm-wide, governed
Scale from one workflow to a governed agentic operating layer across research, advisory, trading, operations, compliance, and management.
Four examples from the 40-agent capital-markets module
The Coverage Multiplier
I help you... turn filings, earnings calls, market data, and thesis history into analyst-ready research packages.
The Client Franchise Builder
I help you... improve brokerage productivity, client segmentation, margin-lending discipline, and market-share execution.
The Settlement Orchestrator
I help you... coordinate trade lifecycle, reconciliation, corporate actions, settlement breaks, and operational handoffs.
The Evidence Guardian
I help you... prepare surveillance, suitability, AML, and best-execution evidence for a compliance officer to review and sign.
Each area below is what the module models and what the agents draft. The workflows are designed for a named human to review and approve material decisions.
| Area | What the agents do |
|---|---|
| Research Coverage | Filings, earnings transcripts, news flow, and portfolio exposure are modeled as one research object. Agents draft the synthesis; the analyst owns the call. |
| Advisory Workflows | Portfolio reviews and next-best-action drafts assembled from mandate, holdings, and suitability context. The advisor approves whatever reaches a client. |
| Brokerage Operations | Trade lifecycle, settlement, reconciliation, margin, and corporate actions modeled end to end, with exceptions routed to a named human owner. |
| Compliance Surveillance | Surveillance, suitability, AML, and best-execution workflows encoded with the evidence each step produces. A compliance officer reviews and signs the packet. |
| Investment Banking | IPO, corporate bond, and M&A preparation workflows carry their own artifact checklists, gated on human approval before anything leaves the firm. |
| Vietnam Market Structure | SSC/UBCKNN, HOSE, HNX, UPCoM, VSDC, KRX, foreign ownership limits, and AI Law 134 modeled as first-class context in the Vietnam edition. |
The base `faos-investment` module covers capital-markets roles and workflows globally. The Vietnam edition adds SSC/UBCKNN, HOSE, HNX, UPCoM, VSDC, KRX, foreign ownership, and AI Law 134 context for securities firms operating in Vietnam. It is one of 26 industry modules (2 runtime-wired today); the capital-markets module is packaged, not yet runtime-wired.
Start with one measurable workflow. We will map it, set out the agent team and approval gates it would need, and write it up as a decision brief.