Shin Young Securities Introduces Industry's First AI Agent-Based "Incomplete Sales Monitoring Solution"

Hwang Sungyeop, CEO of Shin Young Securities (third from right), and Choi Eunjin, CEO of Genti (fourth from right), are taking a commemorative photo after the business agreement ceremony. Shin Young Securities

Shin Young Securities announced on November 10 that it has collaborated with the AI specialist company Genti to develop an AI model tailored for the financial sector and has become the first in the securities industry to introduce an AI agent-based "Incomplete Sales Monitoring Solution (AIVS)."

The "Incomplete Sales Monitoring Solution" utilizes AI agent technology to go beyond simple keyword detection by analyzing the overall context of conversations. It automatically detects expressions that could be interpreted as incomplete sales, such as those implying guaranteed returns or outcomes to investors. Additionally, it can independently verify whether mandatory disclosures for each product have been provided, enabling comprehensive monitoring of all consultation recordings and allowing for the prevention of incomplete sales in advance.

For the development of this solution, terminology used in financial product sales was converted into training data using speech synthesis technology. Shin Young Securities independently developed a finance-specialized speech recognition model trained on approximately 14,000 hours of voice data, as well as a finance-specialized Large Language Model (LLM), to enhance recognition accuracy. In particular, the finance-specialized LLM does not simply learn from large volumes of data; by applying a small language model (sLLM), it efficiently trains on a dataset optimized for Shin Young Securities' business objectives, thereby improving system efficiency. Furthermore, the system is built on-premise, allowing the use of AI capabilities without concerns about external leakage of customer information.

This project began development in January 2025, underwent proof-of-concept testing, and established the incomplete sales detection agent, which was fully implemented in October. Based on this, Shin Young Securities plans to further strengthen risk management, customer protection, and compliance efficiency, and sequentially introduce various AI solutions specialized for different financial functions in the future.

Koo Jeongbon, Executive Director of the Future Finance Team at Shin Young Securities, stated, "By introducing the AI-based Incomplete Sales Monitoring Solution at an early stage, the system can detect incomplete sales in advance, allowing employees to focus on analysis and improvement activities, which has significantly enhanced workforce efficiency." He emphasized, "We will continue to pursue digital innovation to strengthen financial consumer protection and compliance going forward."

This content was produced with the assistance of AI translation services.