Shinyoung Securities launches AI agent to prevent incomplete sales
Shinyoung Securities has introduced an AI agent-based Incomplete Sales Monitoring Solution (AIVS), developed with AI company Genti. The companies signed a business agreement and confirmed the rollout, with CEO Hwang Sung-yup and CEO Choi Eun-jin marking the partnership.
This is the first deployment of an AI agent of its kind in the securities industry. The goal is simple: catch incomplete sales before they become a problem and keep sales conversations clean, compliant, and efficient.
What AIVS actually does
AIVS goes beyond keyword spotting. It analyzes the full context of counseling conversations and flags risky language-like phrases that imply guaranteed returns or predetermined outcomes for investors.
It can review entire call recordings and verify whether mandatory product disclosures were made. That means fewer missed notices, fewer compliance surprises, and clearer sales documentation.
How it's built-and why that matters
To power the system, Shinyoung and Genti converted financial sales terminology into training data using voice synthesis, then built a finance-specific speech recognition model and a finance-specific language model trained on about 14,000 hours of audio. This boosts recognition accuracy for real sales talk, not lab-perfect recordings.
They also used a small language model (sLLM) approach-optimized for Shinyoung's workflows-to keep the system fast and efficient. Everything runs on-premise to keep customer data secure and prevent external leakage.
Rollout and what's next
Development started in January, with empirical testing to shape the detection agent. Full introduction began in October, and the firm plans to expand AI solutions into more functions across risk, customer protection, and compliance.
What this means for sales teams
- Stick to clear, compliant language-no hints at guarantees, even casual ones.
- Hit every mandatory notice for each product, every time. AIVS will check.
- Use the flags as coaching prompts: tighten your talk tracks, not just for compliance but for trust building.
- Document outcomes and follow-ups. Consistency across calls reduces disputes.
- Build a quick-review routine: scan AI alerts right after calls and correct issues while context is fresh.
- Turn recurring flags into team playbooks-share phrasing that passes checks and closes cleanly.
"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," said Koo Jung-bon, director of Shinyoung Securities' future financial team. "We will continue to make digital innovations to protect financial consumers and strengthen compliance."
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