For regulated firms

We deliver AI governance technology for regulated firms.

Platforms that review your files, log your AI use and produce the evidence behind your compliance position. We scope them, deploy them and support you as they run.

Book a free 30-minute discovery call → Find your sector
Sample report (illustrative) Example
0 %
Sample UK law firm result, not a client score
SRA Principles & Codes 68%
SRA AML rules 54%
Client money & accounts 82%
UK GDPR / DPA 71%
AI use & supervision 47%
The problem

The risk sits in the gap between your rules and your files.

Policy stays on paper
Most of today’s business rules sit in PDFs and procedures. Nobody has tested whether the business, or its AI, actually follows them.
Sampling misses the file
Manual checks cover a handful of files. A regulator can often pick the one you did not check.
No reliable evidence
Regulators, insurers and clients ask what you checked and what you did about it. Spreadsheets and opinions rarely answer that.
AI outruns supervision
AI tools act in seconds. Controls added after launch cost more and slow every release.

The rules change. The question does not: can you show evidence of control?

What we deliver

Know where you stand. Fix what matters. Show your evidence.

Fixed fee and fixed scope. You know what you are getting, and what it costs, before we start.

Assess01

Every file and AI action, scored

We check every file and every AI system action against the regulations, policies, contracts and SOPs that apply to your business, instead of a limited manual sample, and show you exactly where you stand.

  • A pass, partial or fail for every rule
  • Rules confirmed by counsel before we use them
  • Anything unusual or uncertain is decided by a person, not left to software
Remediate02

A ranked plan to close the gaps

Every gap becomes a clear action: what is wrong, which rule it breaks and how urgent it is, so your team knows exactly what to fix first.

  • Gaps ranked by risk, highest first
  • Each one cited to its exact rule and source
  • Ready to hand to your team and advisers with agentic solutions
Evidence03

Evidence you can show

Once you have fixed the gaps, the tests can be run again so you can show a regulator, insurer or client what was checked, what failed, what you fixed and what now passes.

  • Before-and-after results from the re-test
  • Every check logged and repeatable
  • Board and regulator-ready evidence
Benefits you realise

What changes for your business.

Coverage
Nothing missed
Every file in scope is checked, not a sample, so the file that matters is not left to chance.
Efficiency
Time and cost saved
Automatic testing replaces the time, cost and inconvenience of checking files by hand.
Clarity
Clear priorities
You know what to fix first, because every gap is risk-rated, ranked and cited to its source.
Assurance
Evidence you can show
Regulators, insurers and clients can see exactly what was checked, with board and regulator-ready evidence.
Follow-through
Evidence your fixes worked
Re-test after you fix the gaps to show what changed, and again as your files and the rules change.
Certainty
Known cost, known scope
Fixed fee and fixed scope, agreed before work starts.
Who we help

Tested against the rules that apply to you.

SRA · AMLLaw firmsReview every file against the SRA rules, not a sample. The SRA is also watching how firms use AI.
  • Files against the SRA Principles and Codes
  • Anti-money laundering: client due diligence and source of funds
  • Supervision of AI use
Detail for law firms →
FCA · Consumer DutyInsurers & MGAsShow customer outcomes and oversight across policy and claims files, including work done by third parties.
  • Policy and claims files against Consumer Duty outcomes
  • Delegated authority oversight and reporting
  • Financial crime and sanctions controls
Book a free check →
FCA · SM&CRFinancial advice firmsThe FCA has checked whether firms delivered the ongoing advice clients paid for. Show it from your files.
  • Suitability reviews and ongoing advice evidence
  • Consumer Duty outcomes
  • Anti-money laundering on onboarding
Book a free check →
AI controlsFirms using or building AIKeep your rules outside the model and check every output or agent action before it ships.
  • Allowed, blocked or escalated before it runs
  • Every decision logged
  • Works with any model
See how →

Sources: SRA warning notice “Misuse of AI”, 17 August 2026 · FCA ongoing advice review, 24 February 2025

You stay in control

None of this replaces human judgement.

A person in charge
Anything unusual or uncertain is flagged to a person for review, and every decision is yours.
Fully checkable
Each finding cites the exact rule and source. Gaps are stated as gaps, never guessed.
Repeatable
Every check can be re-run for a regulator, auditor or insurer.
Independent checks
Counsel confirms the rules before we use them. We tell you up front about any commercial interest we have.
It gives your team more evidence to work with, on every decision.

Using or building AI agents?

Rules outside the model. Not soft prompts.

A rule trained into a model is a tendency you cannot prove. A rule held outside it is one you can point to, test and show.

Every output or agent action is checked before it ships: allowed, blocked or escalated.

Works with any model, and survives a model swap.

Every decision is logged to a tamper-evident record.

Coverage

The rules every file is tested against.

The rules differ by type of firm. Not every rule applies to every firm. We agree the set that applies to you, and counsel confirms it before we test.

Law firms
SRA
Principles, Codes of Conduct and accounts rules, plus the AI misuse warning notice.
Law firms & advisers
Anti-money laundering
Money Laundering Regulations 2017: client due diligence, source of funds and risk assessments.
FCA-regulated firms
FCA Handbook
SYSC, COBS and senior management arrangements.
Insurers & advisers
FCA Consumer Duty
Good outcomes for customers across advice, insurance and claims.
All firms
UK GDPR / DPA
Client data handling, retention and AI use.
FCA-regulated firms
SM&CR
Senior Managers & Certification Regime: who is accountable.
All firms
Financial sanctions
Screening and reporting, checked alongside your AML files.
Insurers & MGAs
FCA ICOBS & PROD
Sales, pricing, claims handling and product fair value for insurers.
As agreed
And more, on request
Other frameworks, including EU AI Act, DORA and FINMA, confirmed by counsel.
About Prova-AI

Domain expertise, built into rules your AI can be held to.

Our seasoned practitioners come from your industry and turn operational, regulatory and data expertise into strong, testable rulepacks for governed AI operations and compliance checks of every file.

We are a delivery partner for specialist AI governance technology. We run the reviews and controls for you, and we tell you up front about any commercial interest we have in the tools we use.

  • Operational
  • Regulatory
  • Data
  • Industry domain
  • Legal oversight
Martin Guerin, founder of Prova-AI
Founded by Martin Guerin CISA, FCMA/CGMA

Nearly 30 years delivering transformations that improve productivity and results, across the Big 4 and global enterprises. Now helping regulated firms control AI and scale their operations with confidence.

linkedin.com/in/martinguerin-prova

How we work

  • We streamline and optimise your AI controls: so you can adopt, run and scale AI effectively with confidence.
  • Sector practitioners turn the regulations, internal policies and SOPs that apply to your business into rulepacks: precise rules that make sure the right outcomes are achieved.
  • Counsel oversees them. Legal counsel confirms the interpretation of each rulepack before it is used in production, so the rules reflect the law as accurately as possible.
  • Human in the loop: Software checks every file and every agent action, and anything unusual or uncertain is escalated to an authorised person for a decision.
  • Experienced practitioners do the work. You work directly with the people who do the analysis, not a layer of juniors.
  • We tell you plainly what the evidence shows, and what it doesn’t.
  • We show you the gaps and the opportunities. The findings reveal the business case for further performance improvements - including agentic operations and the controls they need - with a clear path to runtime control.

If a regulator asks, you can show them.

Start here

Book a free 30-minute discovery call.

Tell us where your files and AI are already in use, and which rules you most need to show you follow. We’ll pinpoint your highest-risk exposure areas and give you clear options to remediate them.

Prefer email? contact@prova-ai.uk