Marketing & Comms
Reviews decks, letters, website content, presentations, and client-facing communications for clarity, disclosure consistency, conflict triggers, and alignment with firm rules, ADV/CRS, and FINRA 2210 expectations.
Why This Matters
Marketing review is slow and inconsistent because principals or compliance officers must manually scan every document for disclosure mismatches, performance claims, and language issues.
Marketing review doesn't fail because people want to violate rules. It fails because manual scanning can't keep pace with content volume, rule changes, and version drift.
What This Agent Automates
- Checks disclosures against ADV/CRS
- Flags performance language violations
- Verifies required disclaimers in presentations
- Compares updated materials vs previous versions
- Detects inconsistencies across channels
What It Eliminates
- Endless email threads: "Is this approved?"
- Outdated disclosures slipping through
- Missing or incorrect disclaimers
- Delays caused by manual reviewing
How It Works
Upload
Decks, PDFs, scripts, emails.
Analyze
Disclosures, claims, alignment, clarity.
Flag
If review is required, escalate to principal.
Document
Add to firm-wide evidence trail.
Example Outputs
Missing: 2210-required performance disclaimer.
Alert: Outdated ADV reference.
Approved: no conflicts or performance claims detected.
Who This Helps
Advisors
Faster approval times for decks and client letters.
Marketing
Self-service compliance checks while creating content.
Reviewers
Focus on strategy, let AI handle the disclosure matching.
CCOs
Guaranteed disclosure consistency across all channels.