1. Scope
Verification checks that something already written or recorded is correct and complete — the backward-looking counterpart to document analysis and drafting (see How to Review Documents with Unplex). For legal teams this means checking every citation in a finished document before it is sent. For compliance teams this means auditing existing documentation — AML comments, restriction comments, KYC files — against regulatory requirements, across the book at once.
Note: this article covers verification of citations and documentation. For the verification badges attached to data values (numbers, dates, amounts) in chat answers, see Source Citations: Verified Data Values in Chat Answers — a distinct feature.
2. Citation Verification (Legal Teams)
Citation verification applies to legal documents about to be finalized and sent — briefs, legal opinions, client advice letters, and court submissions. Unplex scans every legal citation in the document and checks four properties: whether the provision exists, whether the wording is correct, whether it is still in force, and whether it is applied in the correct context.
This is the backward-looking counterpart to document review: document review analyzes a contract being drafted or received; citation verification validates a document already written, before it leaves the desk.
2.1 When to Use
Applicable whenever a document contains legal citations that will be relied on by a client, a court, or a regulator — most commonly court filings, client advice memos, legal opinions, and compliance reports. An incorrect or outdated citation reaching a client or a court is a material risk; verification removes that risk before submission.
2.2 Procedure
Upload the document to an Unplex project, or open it via a connected SharePoint or OneDrive.
Select Verify Citations from the document menu.
Unplex scans the document and identifies all legal citations — FedLex provisions, BGer decision numbers, OR/ZGB/ArG articles, and other statutory references.
Each citation is returned with one of three statuses (see Section 2.3).
For flagged citations, the specific issue is shown (outdated, incorrect article number, wrong context) with a suggested correct reference.
Corrections are accepted directly in the document, or flagged items are reviewed manually.
2.3 Citation Statuses
Status | Meaning |
Verified | The provision exists, is in force, and is applied in a contextually appropriate way. |
Flagged | The provision exists but an issue is present — outdated, incorrect article number, or the citing context does not match the provision's actual scope. |
Not Found | The cited provision cannot be located in the source database. May indicate a hallucinated citation (common in AI-generated drafts), a typo, or a repealed provision. |
2.4 Frequently Asked Questions (Legal)
Question | Answer |
Can this detect AI-generated hallucinated citations? | Yes. A cited BGer decision number or FedLex provision that does not exist in the database returns a Not Found status — a common use case for teams using AI drafting tools. |
Does it check commentary citations? | Citations are verified against FedLex, BGer, and linked cantonal sources. Commentary citations (e.g. Online Kommentar) are checked where the source is accessible via workspace integrations. |
What is the difference between document review and citation verification? | Document review is forward-looking, used while drafting or reviewing a contract to catch issues before agreement. Citation verification is backward-looking, used after drafting to validate that every citation in a finished document is accurate before it is sent. |
3. Compliance Documentation Review (Wealth Managers / Compliance)
3.1 AML Comment Compliance Review
AML comments — flow-of-funds documentation, source-of-wealth narratives, transaction rationale — are reviewed across some or all mandates and classified as Compliant, Insufficient, Missing, or Outdated against GwG/FINMA standards. Findings pass through a compliance-officer approval gate before the gap report is finalized.
3.2 Restriction Comment Compliance Review
Investment restriction comments are checked for completeness and consistency with the signed investment guidelines, and for precise definition — flagging missing thresholds, contradictions, and positions not covered by any restriction.
3.3 Portfolio Data-Quality Sweep
A book-wide scan identifies missing FinSA classifications, stale valuations, missing engagement dates, and incomplete KYC fields, producing a triaged remediation list.
3.4 Procedure
Select the mandate(s) to review, or run in batch across the book.
Unplex retrieves the relevant documentation and PMS/CRM data automatically.
The gap matrix and dashboard are reviewed (by mandate, by issue type).
The compliance officer reviews and approves findings at the approval gate.
The gap report is exported and remediation tasks are created directly from flagged items.
Note: for GwG checklists run as an automated, ongoing workflow step rather than a one-time audit, see Compliance Workflows: GwG, BGFA, FIDLEG, and FINMA.
Related articles: How to Review Documents with Unplex · How to Research with Sources · Source Citations: Verified Data Values in Chat Answers