Performance claims lacking required context, testimonials and endorsements missing required disclosures, promissory language, and prohibited comparisons.

Does it replace CCO review?

No. It automates the initial screening so your CCO reviews only flagged items rather than every piece of content. The CCO still approves before publication.

Prevent Marketing Violations

Reviews presentations against SEC Marketing Rule 206(4)-1 and FINRA 2210. Flags performance claims, missing disclosures, and prohibited language before approval.

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Why This Matters

Marketing review bottlenecks delay business development

When decks sit in compliance queues for days, opportunities close before materials get approved. Speed and accuracy aren't mutually exclusive.

event_busy

Lost business opportunities from slow approval cycles

Advisors miss client meetings waiting for compliance approval. Days-long queues for urgent presentations cost real revenue.

sentiment_dissatisfied

Advisor frustration with compliance friction

Repeated back-and-forth on the same material types erodes the working relationship between advisors and compliance teams.

balance

Inconsistent review standards across materials

Different reviewers apply different standards to the same types of content, creating unpredictable outcomes and confusion.

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Regulatory violations in rush-approved content

Time pressure leads to missed violations. Materials distributed before proper review expose the firm to enforcement risk.

What This Agent Automates

check_circleApplies SEC Marketing Rule 206(4)-1 and FINRA 2210 to presentations and promotional materials

check_circleValidates required disclosures and disclaimers

check_circleChecks alignment with ADV and firm policies

check_circleFlags performance claims needing substantiation

check_circleProvides detailed findings with rule citations

What It Eliminates

cancelDays-long approval queues for urgent client presentations

cancelSubjective compliance decisions varying by reviewer

cancelMaterials distributed before proper review completion

cancelMissing documentation when examiners request approval records

How It Works

From content submission to documented approval in four steps

Upload

Decks, PDFs, emails, website content, scripts.

Analyze

Disclosures, performance claims, testimonials, ADV alignment.

Flag

Rule violations or missing required disclosures.

Document

Approval record with timestamp and findings detail.

Example Outputs

What the agent actually produces

Missing disclaimer

Performance chart on slide 12 lacks required risk disclosure per SEC Marketing Rule.

Suggested action: Add disclaimer: "Past performance does not guarantee future results."

ADV conflict

Deck promotes tax planning services not disclosed in Form ADV Part 2A Item 4.

Suggested action: Remove tax planning references or file ADV amendment to disclose service.

Approved

All disclosures present, no performance violations, language aligns with ADV and firm policies.

Suggested action: Marketing material approved for use with clients and prospects.

Who This Helps

Built for the teams responsible for marketing compliance

Advisors

Get decks approved faster without compliance delays.

Marketing Teams

Review materials against SEC and FINRA marketing rules systematically.

CCOs

Maintain consistent review standards across all content.

Compliance Teams

Validate disclosures and policy alignment efficiently.

Get Started

Ready to speed up marketing approvals?

15-minute diagnostic call. We review your approval workflow and show you where compliance friction is slowing down your team.

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