Regulatory and Governance Intelligence Platform
Replaced hours of manual governance research and filing monitoring with structured, automated workflows.
Delivered for The Investment Association's Corporate Governance and Market Insights teams, including work connected to IVIS, the Institutional Voting Information Service. A real operational system, not a demonstration; the interface shown here uses representative, anonymised data.
Outcome
Processing that took up to 5 hours per company now completes in under 10 minutes, and the FCA NSM monitoring system tracks 850+ listed companies continuously with no manual checking required. Research cycles that took 3-4 days of background reading can now be started within an hour.
Product Interface
Document Ingestion
Chunking & Embedding
AI Analysis
Report Generation
Complete
Product interface · Representative data
The Challenge
Analysts were spending 4-5 hours per company manually reviewing annual reports, nomination committee disclosures and proxy statements to extract governance and remuneration data. Separately, AGM and GM dates for hundreds of listed companies had to be checked by hand against the FCA National Storage Mechanism, and research analysts were spending 60-70% of their time reading historical reports and regulatory publications to find relevant context.
Existing Process
Manual document review with no standard template, inconsistent output formats between analysts, sporadic checking of the FCA NSM that occasionally missed or delayed AGM/GM dates, and research that relied on individual memory and manual search rather than a shared, queryable knowledge base.
The Approach
Built three connected systems around the same governance workflow: a RAG pipeline that ingests governance documents and queries them with structured prompts targeting board composition, remuneration ratios, ESG targets and audit committee independence; a daily automated scraper against the FCA NSM that detects new AGM/GM filings and extracts meeting dates, venues and resolution counts with an LLM-based parser; and a RAG-based research assistant over historical reports, economic papers and regulatory publications with cited, natural-language answers.
What Was Built
An operational governance intelligence platform covering automated monitoring of regulatory filings, AGM and GM tracking, document collection and extraction, remuneration and ESG analysis, AI-assisted draft report generation, structured analyst research workflows, and a supporting tool to help new and existing analysts learn governance methodology and internal processes.
- Automated regulatory filing monitoring
- AGM and GM date tracking
- Document collection and structured extraction
- Remuneration and ESG analysis
- AI-assisted draft report generation
- Structured analyst research workflows
- Analyst training and onboarding support
Thimoth's Role
Led discovery with the governance and research teams, designed the pipeline architecture, built the extraction and RAG systems, and worked directly with analysts to test outputs and refine the templates.
Component systems
Automated AGM and GM filing monitoring
850+
Companies Monitored
247
Filings Processed Today
0
New AGM/GM Dates Found
Product interface · Representative data
AI-assisted research and report retrieval
Example Queries
Principal adverse impact indicators require mandatory disclosure for Article 8 and 9 funds...
National competent authorities must verify fund classifications are substantiated...
Transition risk from carbon-intensive holdings represents the largest near-term exposure...
The anti-greenwashing rule applies to all regulated firms making sustainability claims...
Select a query above...
Product interface · Representative data
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