Guide
AI for capital markets
AI for capital markets helps the lawyers, company secretaries and reporting teams who prepare listing documents and ongoing disclosure. It verifies statements against their support, checks filings against SEC rules, finds precedent and drafts from it, and leaves a trail a reviewer can check.
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Where AI fits
Where AI helps across the deal and reporting cycle.
Listing documents
Registration statements such as Forms S-1 and F-1 checked for internal consistency and support, with each statement tied to its source.
Periodic reporting
10-Ks, 10-Qs and proxies tied out and form-checked against Regulation S-K and current C&DIs, then rolled forward to the next period.
Transactions
8-K disclosure checked against the deal documents, with every statement tied to its source.
Regulator attention
Drafts checked against patterns in recent SEC comment letters while they are still private and fixable.
Precedent research
Peer filings compared paragraph by paragraph, so you see where your disclosure is standard, thin, inconsistent or novel.
Working on one draft
In-house teams, outside counsel and reporting colleagues work on the same draft, with one flagged issue list and every change traced to its source.
Who it is for
Built for the people who personally absorb disclosure risk.
01
For capital markets partners
Fixed-fee engagements shouldn’t be subsidized by all-nighters. Finiti takes the mechanical layer — tick-and-tie, form checks, consistency review — so your team’s hours go to judgment, and every conclusion arrives with its trail attached.
02
For legal and compliance teams of one
You carry the same disclosure obligations as a company ten times your size — often alone. Finiti gives you the preparation of a full disclosure committee: every fact verified, every rule checked, every source documented.
03
For the officers who sign
The officers who sign and certify the filing and the counsel who advise on it remain responsible for its content. Finiti gives them a documented record of what was checked and who approved the final language.
Guides
Choosing an AI tool for your filings.
Frequently asked questions
See all questionsWhat is Finiti?
Finiti is a compliance layer for capital markets filings. Before a filing goes to a regulator, Finiti reconciles every number, ties each statement to its source document, checks the filing against the applicable disclosure rules, and records what it checked in a versioned trail.
It is built for the lean legal, compliance and reporting teams at listed companies, and for the law firms that advise them. Finiti helps those teams file disclosure that is accurate, consistent and stronger in the market; work with their reporting colleagues on the same draft in less time; and roll forward and benchmark filings with ease.
Who is Finiti for?
Finiti is for the people who personally carry disclosure risk: general counsel, compliance officers, and the reporting and investor relations teams at listed companies, and the capital markets partners and associates at the law firms that advise them.
It is designed in particular for issuers that carry the same filing obligations as much larger companies without a full disclosure committee, including foreign private issuers, dual-listed companies and recent IPOs.
Which filings and markets does Finiti cover?
Finiti covers US and Hong Kong filings in one workspace: US SEC filings, including Forms 10-K, 10-Q, 8-K and 20-F, and Hong Kong filings under the HKEX Listing Rules. It has multilingual support for drafting and review. Coverage for the Toronto Stock Exchange (TSX) and the Australian Securities Exchange (ASX) is coming.
Does Finiti replace lawyers?
No. It protects their time. Reconciling numbers, checking cross-references and running line-by-line form checks never required legal judgment; they required attention and a record. Finiti takes that mechanical layer so your lawyers spend their hours on interpretation, strategy and risk, the work that actually requires them.
Who is responsible for a filing that was reviewed with AI?
The same people as before. The officers who sign and certify the filing (for example, under Sarbanes-Oxley Section 302) and the counsel who advise on it remain responsible for its content. Using a review tool does not shift that responsibility.
Finiti is built for that reality: it gives the people who sign a documented record of what was checked and who approved the final language.
Our filings contain MNPI. Is our data safe?
Finiti runs on Microsoft Azure. Each customer's data is logically isolated and encrypted with AES-256 at rest and TLS 1.2 or higher in transit, and sign-in runs through your own single sign-on. Finiti is ISO 27001 certified, and the model provider processes your documents under a zero-data-retention agreement.
Controls, sub-processors and the documents your security team will ask for are in the Trust Center.
Further reading