Free tool
AI evidence pack
Most firms have an AI policy. Fewer can show the records behind it when the FCA, an investor or an auditor asks. Build the five records for each AI tool your firm uses, and download them as a Word pack.
The five records
- AI inventory. Every AI tool in use, including what staff use on their own, with what it can reach and the controls that apply.
- Owner per tool. A named senior manager accountable for each tool, a day-to-day owner and an escalation route.
- Pre-deployment test record. The problem, the foreseeable harms, the tests run and who signed it off.
- Monitoring log. Thresholds with set actions, and a dated line for every review, override and correction.
- Vendor assurance challenge. Eight questions for each provider, with the strength of the evidence behind each answer.
Bank of England and FCA, Artificial intelligence in UK financial services 2026, 26 October 2026.
Five records per AI tool. A record counts once the evidence an FCA supervisor, investor or auditor would ask for is filled in.
Your AI tools
| AI tool | 1 Inventory | 2 Owner | 3 Testing | 4 Monitoring | 5 Vendor |
|---|
Take the pack with you
The Word pack holds all five records for every tool, ready to file, edit and sign off. What you enter stays in this browser. Nothing is sent to us.
A template to structure your records. It is general information, not legal or regulatory advice, and what your firm needs depends on its activities and the AI it uses. Each section summarises the FCA’s “AI in financial services: good practice and areas for improvement” (19 October 2026). Talk it through with James.
How we do it
How Reg ADV governs its own Claude-built tools
We build compliance tools with Claude, so we keep the same records we ask clients to keep.
- AI suggests, a person decides. Our systems make suggestions only. A reviewer approves, edits or rejects each one, and the decision is logged.
- Every suggestion shows its source. The AI must quote the basis for its analysis, and a second agent checks that quote against the source independently before anyone sees it.
- Mapped inventory and logs. Each tool is in an AI inventory with its owner, data access and controls, and AI activity and decisions are logged.
- Dashboards for oversight. Reviewers and accountable managers see corrections, rejections and model changes in one place.
Start with a 30-minute call.
Tell James where the firm is and what it needs next. No pitch deck, no obligation.