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Client Outcomes

Governance that works in practice, not just on paper.

Every case study below is anonymised to protect client confidentiality. The outcomes, timelines, and regulatory contexts are accurate. The methodology applied is the same in every engagement.

All client details anonymised by default. Clients may choose to be named with written consent.
3
Published case studies
100%
Clients passed regulatory review
0
Major non-conformities across all audits
EU AI Act · ISO 42001 · FCA
Frameworks addressed
Asset Management501–2,000 employeesEU AI Act Readiness14 weeks · Foundation Engagement + Operational Platform

From zero AI visibility to audit-ready governance in 14 weeks

Context

A UK-regulated asset manager with AUM exceeding £8bn had deployed AI across investment research, AML screening, client suitability assessment, and document review. No central inventory existed. No accountability framework had been built. The compliance team had identified the EU AI Act as a material risk but had no clear path to readiness.

The Problem

The organisation could not answer three basic questions: which AI systems were in use, who was accountable for the decisions they influenced, and whether any of those systems met the EU AI Act's high-risk classification threshold. Shadow AI (tools adopted by teams without central oversight) was widespread.

What We Did
  • AI Surface Mapping™ across all departments, including a structured shadow AI amnesty process that surfaced 7 previously undisclosed tools
  • EU AI Act risk classification for all 15 registered AI systems. Three classified as high-risk, requiring full Article 9 compliance programmes.
  • Decision Accountability Matrix built for 12 AI-influenced decision types, with named human owners and documented oversight methods
  • Risk register populated with 13 quantified risks, prioritised by likelihood and impact, with mitigation owners assigned
  • Governance Playbook developed covering AI use policy, incident response, escalation procedures, and board reporting templates
  • Maturity Assessment completed, establishing a Level 3 baseline with a structured roadmap to Level 4
Outcomes
15
AI systems registered and classified
3
High-risk systems identified and remediated
12
Decision types with named human accountability
67%
EU AI Act compliance score at programme close
"We went from not knowing what AI we were running to having a board-ready governance report in under four months. The methodology is rigorous. It does not let you take shortcuts."
Asset Management Client (anonymised)
Regulatory Frameworks Addressed
EU AI ActFCA MRMISO 42001
Professional Services201–500 employeesISO 42001 Certification Preparation6 months · Foundation Engagement + Foundation Platform

ISO 42001 certification readiness achieved in a single engagement

Context

A mid-sized professional services firm had committed to ISO 42001 certification as a condition of a major enterprise contract. The firm had no existing AI governance infrastructure. The certification timeline was 6 months. The firm needed to build the full management system from scratch.

The Problem

ISO 42001 requires a documented AI management system with defined scope, risk assessment processes, governance policies, and evidence of continuous improvement. The firm had none of these in place. The compliance team had the regulatory knowledge but not the operational framework to implement it.

What We Did
  • Scoped the ISO 42001 management system boundary and defined the AI governance context
  • Conducted AI Surface Mapping™ to identify all AI systems in scope. Eight systems identified, 2 requiring specific risk controls.
  • Built the AI risk assessment process aligned to ISO 42001 Clause 6.1.2, with documented methodology and evidence trail
  • Developed the full policy library: AI use policy, data governance policy, third-party AI vendor policy, incident response policy
  • Implemented the Decision Accountability framework to satisfy ISO 42001 Clause 5.3 (roles and responsibilities)
  • Conducted internal audit preparation, producing the evidence pack required for external certification assessment
Outcomes
8
AI systems in scope, fully documented
100%
ISO 42001 clause coverage achieved
6
Months from zero to certification-ready
0
Major non-conformities at external audit
"The Complaix methodology maps directly to ISO 42001. We were not building governance for its own sake; we were building the exact evidence the auditors needed to see."
Professional Services Client (anonymised)
Regulatory Frameworks Addressed
ISO 42001ISO 27001EU AI Act
Financial Services50–200 employeesFCA AI Governance Audit8 weeks · Rapid Governance Sprint + Foundation Platform

FCA supervisory review passed with no remedial actions required

Context

A UK-regulated financial services firm received a supervisory request from the FCA asking for evidence of AI governance controls, model risk management practices, and human oversight mechanisms for AI-assisted decisions. The firm had 60 days to respond.

The Problem

The firm used AI in credit decisioning, fraud detection, and customer communications. The FCA's request required documented evidence of: model risk tiering, human oversight for each AI-influenced decision type, explainability mechanisms, and an incident response process. None of this was formally documented.

What We Did
  • Rapid AI Surface Mapping™ completed in 2 weeks. Six AI systems identified and classified against FCA model risk tiers.
  • Decision Accountability Matrix built for all AI-influenced decision types, with documented human oversight mechanisms
  • Explainability documentation produced for each system, describing how outputs are generated and how decisions can be challenged
  • Incident register established with retrospective logging of 3 historical AI-related incidents and their resolutions
  • FCA response pack compiled. Forty-seven pages of structured governance evidence submitted within the 60-day window.
Outcomes
60d
Response delivered within FCA deadline
6
AI systems classified and documented
47
Pages of structured governance evidence
0
Remedial actions required by FCA
"We had 60 days and no governance documentation. Complaix built the entire evidence pack from scratch. The FCA reviewer noted the quality of the accountability documentation specifically."
Financial Services Client (anonymised)
Regulatory Frameworks Addressed
FCA MRMFCA Consumer DutyEU AI Act
The Methodology

Every engagement applies the same five-framework system.

The outcomes above are not the result of bespoke consulting. They are the result of applying a structured, repeatable methodology: AI Surface Mapping™, Decision Accountability™, Operational AI Governance™, AI Exposure Scoring™, and Accountability Maturity™, applied to each client's specific regulatory context.

Read the methodologyTake the free assessment
Download the Complaix™ Methodology Brief (PDF)
Peer Reference Programme

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All reference calls are arranged personally by Lucas Daidimos, Founder & CEO. Clients retain full control over what they share.