TLDR: Shinyoung Securities, in collaboration with AI firm Genti, has launched an AI agent-style ‘Incomplete Sales Monitoring Solution (AIVS)’ to enhance risk management and customer protection. This marks the first such implementation in the securities industry, utilizing a proprietary financial-specific AI model trained on extensive speech data to detect misleading sales practices and ensure compliance.
Shinyoung Securities announced on November 10, 2025, the successful development and introduction of an AI agent-style ‘Incomplete Sales Monitoring Solution (AIVS)’, a pioneering initiative in the securities industry. This innovative solution was developed in collaboration with Genti, an artificial intelligence (AI) company.
The AIVS leverages advanced AI agent technology to meticulously analyze the entire context of customer conversations, moving beyond mere keyword detection. Its primary function is to automatically identify instances that could be construed as incomplete sales, including expressions that imply profit guarantees or guaranteed results to investors. Furthermore, the solution is capable of monitoring complete counseling recordings, ensuring that all essential notice items for each product are communicated to clients.
To build this sophisticated system, Shinyoung Securities converted terms commonly used in financial product sales into learning data through voice synthesis technology. The company developed its own financial-specific speech recognition model, which was trained on approximately 14,000 hours of speech data. Additionally, a proprietary financial-specific giant language model (LLM) was created. Notably, this LLM employs a small language model (sLLM) approach, allowing for efficient learning from a dataset specifically optimized for Shinyoung Securities’ operational requirements, rather than simply processing vast amounts of generic data.
An important aspect of the AIVS is its on-premise deployment. This architectural choice ensures that AI functionalities can be utilized without any concerns regarding the external leakage of sensitive customer information, thereby upholding data privacy and security.
The project commenced development in January 2025, with an incomplete sales detection agent being established after rigorous empirical testing. The solution was officially introduced in earnest in October 2025.
Looking ahead, Shinyoung Securities plans to utilize this foundation to further bolster its risk management frameworks, enhance customer protection measures, and improve overall compliance efficiency. The company intends to progressively roll out financial-specific AI solutions for various other functions in the future.
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Koo Jung-bon, director of Shinyoung Securities’ future financial team, commented on the significance of this development: “By introducing incomplete sales monitoring solutions using AI technology early, the system could detect incomplete sales in advance and employees could focus on analysis and improvement activities, greatly increasing manpower efficiency. We will continue to make digital innovations to protect financial consumers and strengthen compliance.”
