Marketing Review Made Easy: AI Tools for FINRA & SEC Compliance

Join us as we introduce Marketing Compliance Review and demonstrate how this AI-assisted tool streamlines marketing and advertising review to meet FINRA and SEC guidelines, detecting unsubstantiated claims and misrepresentations, reducing bottlenecks, and delivering compliant communications at scale.

This session will cover the following:

AI-101: An overview of AI technology, LLMs, and what it all means for compliance and Marketing Compliance Review.
Configurable Intake & Assignment: Experience the flexibility of routing review submissions based on fund type or regulatory framework. 
Streamlined Approvals and Notifications: Easily track approval statuses and stay updated with real-time email alerts for all stakeholders.
AI-Assisted Reviews: Experience how the system automatically flags concerning content and references specific FINRA and SEC rules to provide further context.
In-App Collaboration: See how Compliance and marketing/IR teams can easily comment, edit, and compare document versions side-by-side in-app.
Recommended Disclosures: See how compliance reviewers and the AI can recommend firm-approved disclosures from a curated client library. 
Backup Material Attachments: See how easy it is for marketing/IR teams to attach materials to support marketing content.