From research and advisor productivity to trade operations and surveillance, FAOS gives securities firms industry-trained agents that understand markets, workflows, and compliance from day one.
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.
Week 1-2
We map one high-value workflow: brokerage exceptions, advisor productivity, research coverage, trade surveillance, or IPO readiness.
First 30-60 days
Deploy a focused team around one measurable outcome. Keep humans in the loop where regulation, investment judgment, or client impact requires approval.
90 days and beyond
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, best-execution, and regulator-ready evidence with human review gates.
We anchor every deployment to advisor leverage, research throughput, operational alpha, or compliance readiness.
| Area | Outcome |
|---|---|
| Research Throughput | 2-3x more coverage per analyst |
| Advisor Productivity | Higher AUM per advisor |
| Brokerage Operations | Faster exception resolution |
| Compliance Readiness | Continuous evidence trails |
| Investment Banking | Shorter deal prep cycles |
| Vietnam Market Fit | Localized capital-markets workflows |
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.
Start with one measurable workflow. We will map it, configure an agent team, and define the operating model for a first deployment.