Bankers bank. Compliance is built in.
Designed around the supervisory, recordkeeping, communications, information-barrier and third-party risk requirements that apply to FINRA-regulated workflows.
Questions banks ask
Your data
Is our data used for training?
No outside AI is trained on your data or on any of your work product. AI is most valuable with context and learning, so your firm has its own private AI that learns only for you. Your edits improve your firm’s templates, workflows and work product, and all of it stays in a lockbox inside your firm.
Can another firm see our data or learn our processes?
No. Each firm’s data and workflows are entirely walled off from every other firm’s, including from Conductia.
Who inside our firm can see a mandate?
Only the people your firm allows, such as the deal team, senior management and compliance professionals. One deal team does not have access to another team’s work by default. What the firm learns about how to run each kind of deal is incorporated and used across the firm, while each deal’s documents, data and client information stay protected within its deal team.
Governing the AI
Who makes the key decisions?
Your bankers do. The AI drafts and checks work in the background, while the banker is responsible for all key decisions and deliverables: access levels and permissions, pricing and terms, final sign-off on documents and communications, document execution, anything regulated or irreversible, and all decisions involving judgment.
Who decides who works on and approves each piece of work?
Conductia suggests an owner and a deadline for each task, and the deal team lead decides. Approvals follow your firm’s own procedures, so, for example, an analyst’s draft goes to the person who assigned it rather than straight to the client.
Conductia Email Control
What do we check before communications leave the firm?
Messages and their attachments are pre-screened in the background and flagged for potential legal, regulatory, compliance and reputational risk, and for inadvertent recipients.
Can a banker still send something that was flagged?
Yes. Bankers send communications exactly as they do today, with any flag in front of them first. The flag and the banker’s decision are both logged.
Is sensitive information protected when it is sent?
Yes. Sensitive files are encrypted and password-protected before they go.
Compliance
How does Conductia handle supervision and recordkeeping?
Supervision happens as the work moves: every draft, check and sign-off is logged against its deal as it happens. When an audit, regulatory or litigation request comes in, the response is a one-prompt search, rather than an extensive, complex, expensive and risky forensic discovery.
Is Conductia compliant with FINRA’s guidance on AI?
Yes. In Regulatory Notice 24-09 and the 2026 Annual Regulatory Oversight Report, FINRA reminded member firms that its existing, technology-neutral rules apply when they use AI, including the rules on supervision (Rule 3110) and communications with the public (Rule 2210). Conductia is designed to support your firm’s compliance with those rules: AI drafts and checks, a banker approves what leaves the firm, and every step is recorded.
Is Conductia a broker-dealer?
No.
Conductia provides technology for configurable investment-banking workflows. It is not a broker-dealer, investment adviser, law firm or accounting firm. Conductia does not provide investment, legal, tax, accounting, regulatory or compliance advice. Customer firms remain responsible for their obligations, procedures, configuration, approvals and use.
Does Conductia compete with investment banks?
No. Conductia is a software company: it builds technology for investment banks and offers no investment banking services of its own.
Security
How is the platform protected?
Each firm is kept separate from every other firm, each deal’s documents, members and messages are limited to the people your firm allows on that deal, and access and sends are logged.
Do you hold a SOC 2 report or other certifications?
Yes, along with the other certifications and standards bank vendor-risk teams ask for first:
- Audits
- SOC 2 Type II and ISO/IEC 27001
- Testing
- Independent penetration testing
- Privacy
- GDPR, UK GDPR and CCPA
- Records
- SEC Rule 17a-4 and FINRA Rule 4511
The full current list of certifications is provided to your vendor-risk team during evaluation.
How does our vendor-risk team review Conductia?
Before a bank signs a new vendor, its risk team reviews how that vendor protects data. We share those documents under NDA once your firm is evaluating Conductia.