Solution
Audit & Compliance
Trace decisions from evidence to outcome. Reconstruct them when asked.
Decisions happen. Their provenance does not survive.
Lifecycle of an untracked decision
Advice given to client
Fee schedule emailed separately
CRM note updated (partial)
Source doc archived, link breaks
Staff turnover, context lost
Audit request received
Manual reconstruction begins
Evidence integrity degrades continuously. By audit time, reconstruction is guesswork.
Distributed evidence
Documents, emails, CRM notes, platform exports. No single source of truth.
Implicit reasoning
Decisions made in meetings, phone calls, and hallway conversations. Never recorded.
Overrides without rationale
Professionals amend decisions daily. The original and the reason for change are both lost.
Expensive reconstruction
When questioned, the answer is assembled manually from fragments.
Typical engagement: exception funnel
What it looks like in practice
Two environments, different decision types, same platform.
Financial advisory: adviser book migration
187 clients, 1,247 documents, 7 compliance checks per client.
Adviser
Sarah Chen
FAR #001284773
Navigation
Progress
Day 12 of 28
168
Clients migrated
1233
Docs processed
168
Compliance verified
7
Exceptions open
Documents by type
Compliance checks
Client activity
Illustrative UI. Provenance deploys headless via SDK/API -- no user-facing interface required.
External audit: annual engagement reconciliation
342 work papers, 5 audit areas, 4 group entities.
Engagement
TerraCore Mining
Annual Audit FY26
Navigation
Phase
Fieldwork -- Week 6/10
342
Work papers
28 unsigned
1,891
Source documents
cross-referenced
23
Variances
4 material
14
Sign-offs pending
3 partner
Variance materiality map
Audit areas
Illustrative UI. Provenance deploys headless via SDK/API -- no user-facing interface required.
How it layers in
Connects to your existing systems. No forced migration.
Your systems
Provenance layer
Decision output
Governance record
CRM, Document Store, Platform APIs
Xplan, NetWealth, FNZ
Ingest, extract, cross-reference
Fee validation, consent tracking, registration checks
Client migration record
Per-client decision lineage with evidence chain
ASIC-ready audit trail
Overrides, exceptions, reviewer sign-off
ERP, GL, Work Paper Store
SAP, CaseWare, TeamMate
Reconcile, verify, trace
Materiality checks, intercompany matching, standards mapping
Audit finding lineage
Source evidence to finding to resolution
Partner sign-off chain
Review hierarchy, escalations, amendments
Any system of record
API or file-based ingestion
Configure decision engines
SDK, policy packs, custom constraints
Decision records
JSON, PDF, API, SFTP
Immutable governance log
Every action, every actor, every reason
Start with a conversation
We scope the decision landscape and compliance requirements before any implementation.