Overview

The Knowledge Base is Unique's intelligent file management system designed specifically for financial services organizations to access via AI tools. It combines familiar, traditional file system user experience with advanced AI capabilities, allowing you to organize, search, and interact with your financial documents through our RAG (Retrieval-Augmented Generation) model.

Who is it for

Knowledge Base is designed for all Unique platform users. Users and teams can create both private and shared folders and files for AI search. Some ideas for financial users include:

• Financial Analysts who need quick access to research reports, market data, and regulatory documents

• Compliance Officers managing regulatory filings, audit documents, and policy manuals

• Risk Management Teams organizing stress test results, risk assessments, and regulatory correspondence

• Investment Teams accessing due diligence materials, investment memos, and portfolio reports

• Operations Teams managing procedural documents, vendor contracts, and operational guidelines

Benefits

• Intelligent Organization: Create unlimited folders and subfolders to mirror your existing document hierarchies

• Advanced Search: Find documents using natural language queries across all your financial content

• Seamless Integration: Connect to external data sources like SharePoint and Confluence for automatic synchronization

• Granular Access Control: Manage access to sensitive financial data with read, write and management controls across all folders and files

• Markdown Formatted Chunks: View embedded document chunks in for sophisticated document analysis and comparison

• Metadata Enrichment: Add metadata to uploaded documents for improved search performance

• Regulatory Compliance: Maintain audit trails and access logs for regulatory requirements

Use Cases

Financial professionals can store all of their most common file types in the knowledge base for future search and retrieval. The Knowledge Base is the foundation of all use cases. Some of these include:

• Regulatory Reporting: Organize SEC filings, FINRA submissions, and compliance documentation for easy retrieval during audits

• Investment Research: Structure research reports, analyst notes, and market data for quick analysis and comparison

• Risk Assessment: Centralize risk models, stress test results, and regulatory guidance for comprehensive risk management

• Client Documentation: Manage client onboarding documents, KYC materials, and investment agreements with proper access controls

• Policy Management: Maintain current versions of trading policies, compliance procedures, and operational guidelines

Step-by-Step Guide

Getting Started

1. Initial Setup: Navigate to the Knowledge Base from your Unique AI dashboard. Look for the Knowledge Base logo.

2. Access Requirements: If you do not see the Knowledge Base button, contact your administrator and ensure you have the chat.knowledge.read role assigned in your organization's access management system

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Creating Your Document Structure

1. Create Folders:

   • Navigate the Knowledge Base to the desired root folder for your new folder

   • Click "New Folder" to establish your primary organizational structure

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   • Name folders according to your business needs (e.g., “Deal Rooms”)

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New Folder Pop-up.
Note: The new folder will be created at the Folder Path shown

2. Build Subfolders:

   • Select any folder and create subfolders for more granular organization

   • Example structure: Knowledge Base > Company > SEC > 10-K Reports > 2024

Uploading Documents

Method 1: Button Upload

1. Navigate to your target folder

2. Click "Upload Files" in the right panel

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3. Select documents from your device (supports PDF, DOCX, XLSX, PPTX, TXT, HTML, MD)

4. Confirm your selection to begin automatic processing

Method 2: Drag and Drop

1. Navigate to your target folder

2. Drag files directly from your computer into the folder

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3. Files will automatically begin uploading and processing

Connecting External Data Sources

1. Adding Connectors: Connections to SharePoint, Confluence, or other document repositories are managed by administrators.

2. Automatic Sync: Connected folders will automatically update when source documents change

3. Folder Management: External connector folders are automatically created and cannot be manually deleted or renamed

Ingestion State Summary

The list view displays all files in the Knowledge Base. The right panel detailed view displays a summary of the number of files in each ingestion state:

• Ingestion Completed: Indicating the number of files successfully ingested.

• Ingestion in Progress: Showing files currently being ingested.

• Queued for Ingestion: Files waiting to be ingested.

• Ingestion Failed: Files whose ingestion did not succeed.

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Delete Files

1. Find the file you wish to delete.

2. Click on the desired file to open its right panel detailed view, which includes options like Open File, View Chunks, and Delete File.

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3. Confirm that this is the correct file you intend to remove to avoid accidental deletions.

4. Click the Delete File button.

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5. A confirmation dialog box will appear. Click the Delete button in the dialog box.

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Searching and Finding Documents

1. Search Setup:

   • Choose between searching files or folders (not both simultaneously)

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   • Use filters to narrow results:

     • File Type (PDF, DOCX, etc.)

     • Source (Manual upload, SharePoint, etc.)

     • Ingestion Status

     • Date Range

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   • Searches executed while in column view will include all accessible documents regardless of current folder selection

Viewing Modes

Column View

• Purpose: Provides a hierarchical, multi-column navigation method to explore nested folders and directories. The first column (root level) displays the root directories or the top-level folders. This includes the folders created manually, the “All Spaces” folder, and any synced external connectors.

• Navigation: Users can click through folders in successive columns, each column representing a deeper level in the directory hierarchy.

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List View

• Purpose: Displays the contents of the selected folder in a tabular format, listing files along with their attributes.

• Attributes: Columns in the list view include Name, Ingestion Status and Date, Creator.

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Folder and File Operations:

Dependent on upload method, users can perform a variety of view, open, delete, rename, copy, and move operations on all accessible files. The following tables outline the available operations for Folders and Files.

Folders

Files

Limitation