Summary

Droit’s platform powers intelligent, real-time regulatory decision-making by transforming complex regulatory requirements into executable, consensus-based rules that are fully traceable and explainable.

Description of fintech solution

Trusted by global institutions including Goldman Sachs, UBS, Wells Fargo, and Westpac, our technology supports critical workflows such as pre- and post-trade regulatory compliance, trade and transaction reporting, position reporting/shareholding disclosure and client readiness. Delivered through seamless API integrations, Droit’s solutions enable firms to operate with precision, confidence, and transparency.

Describe your key innovations

Droit's Adept platform digitizes and operationalizes laws, rules, and policies to advance compliance within or alongside existing systems with full traceability and transparency to the source text. Droit continuously monitors regulatory and policy changes, updating its platform with each regulatory change or new interpretation.

The Adept platform provides clients with the consensus view as to how rules and regulations are applied. To verify decisions, Adept generates a logic model with traceable pathways linked to the original source text. This transparency into the logic allows for enhanced clarity, increased operational efficiencies, and a repeatable, defendable process.

The patented Adept platform is composed of three parts: the Decision Engine, Logic Viewer, and Digital Library.

- The Decision Engine enables clients to make fast decisions seamlessly within their working environment based on digitized rules and regulations.

- The Logic Viewer provides a view of decision steps sequenced in human-readable, intuitive logic diagrams.

- The Digital Library validates responses by tracing decisions back to the clearly annotated, digitized original source text.

As the technology partner to the Endoxa consortium, Droit enables the codification of consensus-based regulatory interpretations established by leading financial institutions. This collaborative approach significantly enhances the confidence, consistency, and explainability of compliance outcomes across the industry.

Solution Lifecycle

Commercialized

Founder's Background

Brock Arnason is CEO and co-founder of Droit. Driven by a vision to bring clarity and automation to high-stakes decision-making in finance, Brock launched Droit to build a platform that could deliver real-time, explainable, and auditable regulatory outcomes.

Under his leadership, Droit has become a trusted technology partner to some of the world’s largest financial firms, helping them navigate an increasingly complex global regulatory environment with precision and confidence.

Prior to founding Droit in 2012, Brock held senior roles in trading and risk management at UBS and Morgan Stanley, where he developed a deep understanding of the operational complexity and compliance risks facing global financial institutions.

Founded (Years of Incorporation)

2012

How are you funded today?

Series B

Number of employees

100

Presence In Region

America
ASEAN
Asia
Europe
North Asia
Oceania
Southeast Asia

Technology

Application Programming Interface (API)
Artificial Intelligence
Cloud solutions
Regtech

HQ Country

USA

What are the top 3 key benefits your solution will bring to the Asset Management Industry?

1.Confidence in Regulatory Compliance
Droit enables asset managers to meet global regulatory obligations with precision and transparency. Our platform supports complex compliance areas such as shareholding disclosure, position reporting, and trade and transaction reporting, ensuring firms can demonstrate consistent and explainable decision-making.

2. Market Consensus Rule Making
Droit enables asset managers to operationalise regulatory interpretations built on consensus among leading global financial institutions. This shared view of how rules are applied in practice enhances the reliability and industry alignment of compliance processes across jurisdictions.

3. Enhanced Regulatory Change Management
Droit’s platform is continuously maintained to reflect evolving regulatory requirements, including major updates from MAS, ASIC, HKMA, CFTC, and EMIR. Asset managers benefit from a compliance infrastructure that adapts dynamically—reducing change management overhead and maintaining alignment with regulatory expectations worldwide.

Tell us more about your past client engagements to date and your market penetration?

Droit is trusted by many of the world’s largest financial institutions, including UBS, Goldman Sachs, Wells Fargo, and Westpac. Our client base spans global banks, trading firms, and a growing number of leading asset managers across North America, Europe, and Asia-Pacific.

In 2023, Droit was appointed as the technology partner to the Endoxa consortium - a collaborative initiative involving Goldman Sachs, HSBC, BNP Paribas, Barclays, Morgan Stanley, and 1 other financial institution to establish consensus-based interpretations of complex position reporting / shareholding disclosure requirements. Through this partnership, Droit enables the codification and operational deployment of these shared interpretations.

Do you have any case studies of your solution? If yes, please share it in less than 200 words

"Droit's Adept platform enables our teams to meet multi-jurisdictional trade and transaction reporting requirements more efficiently. Since our initial engagement in 2015, working with Droit we have built an infrastructure that enables automated, repeatable, auditable decisions and that is updated as regulations evolve."

Patricia Creedon, MD, Head of Regulatory Change and Control Solutions within Regulatory & Control Operations, Goldman Sachs

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