AI-Powered Compliance Analysis
Upload any marketing material and receive instant, actionable compliance feedback. Our AI identifies risks, cites regulations, and suggests compliant rewording so your team can move faster without sacrificing accuracy.
Determination
NEEDS REVISION
Issues Found
5
Manual Review Is Slow, Inconsistent, and Expensive
Compliance teams spend hours reviewing a single piece of marketing content. Different reviewers catch different issues. Critical violations slip through.
The SEC Marketing Rule raised the bar for what advisers must review. Firms that rely on manual processes face bottlenecks that delay campaigns, frustrate advisors, and expose the firm to regulatory risk. AI analysis doesn't replace your CCO — it gives them superpowers.
How It Works
From upload to compliant content in four steps
Upload Any Format
Drag and drop PDFs, Word documents, images, or paste raw text. Our system handles every format advisers use.
AI Analyzes Content
Purpose-built models scan for misleading claims, missing disclosures, prohibited testimonials, and performance presentation issues.
Get a Compliance Determination
Receive a clear compliant, needs revision, or non-compliant determination with specific citations to the regulations that apply.
Apply Suggested Fixes
Accept AI-suggested rewording with one click or customize edits. Every change is tracked in the audit trail.
Key Capabilities
Everything you need for thorough, consistent reviews
Clear compliance determination
Issue-by-issue breakdown with line references
Regulation citations (SEC, FINRA, state)
Suggested compliant rewording
Required disclosure checklist
Multi-format support: PDF, DOCX, images, text
Testimonial and endorsement flag detection
Fast, on-demand analysis results
Regulations Covered
Built-in knowledge of the rules that matter most
Ready to transform your compliance workflow?
Be among the first to experience AI-powered compliance technology.