At UNIQUE, the foremost objective is to build and execute the most secure GPT-based solutions for the financial services industry (FSI) and emerge as a leading partner for GPT-driven use cases in this sector. Ensuring the security of sensitive data entrusted to financial services customers is UNIQUE's leading commitment. Therefore, we prioritize the security and resiliency of their IT systems, applications, and business processes.

Unique closely partners with Microsoft to offer GenAI solutions in a secured and controlled environment: when working with Unique and using Microsoft Azure OpenAI Services, users are using an enterprise and private instance of OpenAI's ChatGPT packaged and hosted by Microsoft across our operational regions including Switzerland, the United States, and the United Kingdom (prompts and answers are not shared with OpenAI nor Microsoft; to be precise: Microsoft processes the data but never stores the data).

We foster a highly secure IT setup and adhere to the principle of data minimization, incorporating the most robust compliance setup possible in the industry. This proactive approach enables us to reduce any potential misuse of credentials, securely store and manage client data, adhere to the highest privileged access standards, and respond swiftly to emerging threats. Systems are designed to provide exceptional resistance to data exfiltration, and the UNIQUE team recognizes that security has to be integrated across the company within the development lifecycle, IT operations, and business processes.

Unique's proactive stance includes a robust bug bounty program, inviting skilled penetration testers to help fortify our defenses. Our foundation in Swiss and EU regulatory frameworks, known for their stringent data protection requirements, allows us to exceed compliance standards in all our markets, including the US and UK. By applying these rigorous Swiss and European standards across our global operations, we ensure comprehensive compliance with local regulations while providing an enhanced level of data protection for all clients. This commitment to security is further solidified by our ISO 9001 and ISO 27001 certifications, reflecting our dedication to quality management and information security excellence. Since January 2025, we are also SOC2 Type 2 certified, a testament to our internal controls and systems related to security, availability, processing integrity, confidentiality, and privacy of data. Additionally, our ISO 42001 compliance demonstrates our adherence to international standards for artificial intelligence management systems, ensuring responsible AI governance, transparency, and risk management throughout the lifecycle of our GenAI solutions.

Security

Unique AI is built with security in mind:

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At Unique, we're proud to be ISO-9001 compliant, a testament to our commitment to quality and continuous improvement. Our processes are streamlined and customer-focused, ensuring top-tier service and reliability.

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Unique proudly upholds the ISO-27001 standard, demonstrating our unwavering commitment to information security management. Safeguarding data and ensuring privacy are at the heart of what we do.

Unique successfully attained their SOC 2 Type II Certification which focuses on robust data protection, emphasising security, availability, processing integrity, confidentiality, and privacy within service organisations.

Unique is under the authority of the FINMA and complies with Circulars such as the 2018/3 and the 2023/1.

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Since 2025, we are certified with ISO 42001. It specifies the requirements for establishing, implementing, maintaining, and continually improving an AI Management System within an organization.

Certification Coverage Matrix

Country Specific Requirements

While Unique operates as a technology provider rather than a regulated financial institution, we've intentionally designed our compliance framework to align with the regulatory requirements our financial services clients face. Although we don't fall directly under the authority of most financial regulators (such as the SEC, FCA, MAS, or FINMA), we've built our security standards, data protection protocols, and AI governance systems to meet or exceed these regulatory expectations. This proactive approach ensures that working with Unique presents minimal regulatory friction for banks and other financial institutions. Our comprehensive certifications (ISO 27001, ISO 9001, ISO 42001, and SOC 2 Type 2) serve as independent validation that our controls satisfy or even exceed the requirements financial regulators impose on our clients. The following matrices map our existing compliance frameworks to specific regulatory considerations in each of our key markets, to demonstrate how our purpose-built approach enables smooth collaboration with heavily regulated financial institutions worldwide.

🇺🇸 United States

🇬🇧 United Kingdom

🇸🇬Singapore

Compliance

We are fully compliant with all major regulatory bodies in Switzerland, EU, UK, US, and Singapore.

Unique was built on the principles of Privacy by Design and Privacy by Default. The two principles are grounded on the new Act on Federal Data Protection (nFADP) that has been in the legislature from 1. September 2023 with the first one requiring developers to integrate the protection and respect of user’s privacy into the very structure of the products or services that collect personal data. The latter ensures the highest level of security as soon as the products or services are released, by activating by default which means that all software, hardware, and services must be configured to protect data and respect the privacy of users (Art. 7 para. 1 FADP).

FINMA

As Unique operates in the Banking sector, we are under the authority of the Swiss Financial Market Supervisory Authority (FINMA) and therefore, comply with the relevant Circular and other regulations at all times.

In particular, we have established verifiable internal controls to comply with security regulations and procedures. For each service, we agree on and apply suitable organisational and technical measures to protect data against unauthorised processing. This ensures data accessibility, confidentiality, safety, availability, and integrity.

For all FINMA-relevant, significant outsourced functions a description of the outsourced function, its provider (including any sub-contractors) and the recipient as well as the responsible party are maintained in the inventory.

Read the circular: FINMA Circular 2018/3

Furthermore, we have dedicated policies and procedures concerning the segregation of duties, risk management and internal controls.

Read the circular: FINMA Circular 2023/1