Compliance
Overview
Compliance is the gate every piece of marketing content has to pass through, and for good reason. FINRA 2210, SEC 482, and the SEC Modernized Marketing Rule define what advisors can and can't say, and the cost of getting it wrong is significant. Most firms handle this with a manual review by a compliance officer, which works but creates a bottleneck. The more content you produce, the longer the queue gets.
The Compliance AI Agent is the first line of review for every piece of content moving through your marketing system. It systematically reviews drafts across five dimensions — language, performance claims, testimonials and endorsements, ratings and comparisons, and tax claims — against the SEC Modernized Marketing Rule. By the time content lands in front of your team or your compliance officer, the obvious issues are already flagged and the contextual judgment calls are what's left to make.
This isn't a replacement for human review. Every piece of content still goes through a human-in-the-loop, and if your firm has a compliance officer, the piece moves there for final sign-off. The agent's job is to catch the patterns — the things a human shouldn't have to manually re-check on every draft — so the people in your review chain spend their time on judgment.
The agent runs across the entire content system. Blog drafts, lead magnets, social posts, and engagement replies all pass through compliance review before they reach a human. Top of funnel, middle of funnel, bottom of funnel — the same standards apply everywhere your firm shows up.
Example Build
A draft from the Blog AI Agent, Lead Magnet AI Agent, Social Media AI Agent, or Market Engagement AI Agent triggers the Compliance AI Agent. The agent runs the draft through five review dimensions — language, performance claims, testimonials and endorsements, ratings and comparisons, and tax claims — each checking the content against the specific rules in the SEC Modernized Marketing Rule.
Findings are added as comments on the content's page in the centralized content database, where they're automatically logged in the page history. The content then moves to the human-in-the-loop for context-level review. If a firm compliance officer is part of the workflow, the piece moves there for final approval before publication. Every review and every revision is captured in the page history, so there's a clear record of what was checked and what changed.
System Audit
We map your firm's registration status and the specific rules that apply to your marketing. From there, we tune the agent's review logic to your firm's disclosure language, performance reporting standards, and any internal policies that go beyond the regulatory minimum.
Service Integrations
We connect the agent to the drafts produced by every other content agent in your system. Reviews are added as comments on each piece of content in your centralized database, the page history captures every flag and revision, and approved drafts route to the human-in-the-loop and to your compliance officer if applicable.
Training & Handoff
You'll know how to read the agent's review comments, accept or override its flags, and update the rule logic as regulations evolve or as your firm's policies change. The agent handles the systematic check on every draft — your team and your compliance officer focus on judgment, context, and final sign-off.
Post-launch results
The amount of time that was perviously spent manually completing tasks for each new lead to prospect to client conversion.
The number of tasks that are now done automatically through integrations and automations.
