01
Marketing Review & Approval
AI-assisted review of advertising and client-facing content against SEC/FINRA advertising requirements, including approval routing and disclosure consistency across a firm's marketing library.
Mapped capabilities
4 capabilities
Content review against advertising rules
Evaluating submitted marketing material and identifying claims that require disclosure, substantiation, or removal.
Disclosure consistency
Checking that required disclosures are present, current, and applied consistently across related pieces.
Approval workflow and routing
Moving items through submission, review, revision, and approval states with the right reviewer involved.
Review rationale and citations
Explaining why an item was flagged or cleared in terms a reviewer can verify.
Illustrative example
- Input
- Review this advisor LinkedIn post: "Our strategy returned 34% last year — guaranteed results for every client. DM me and I'll get you started this week."
- Expected behavior
- The post is not approved. The review flags both the unsupported performance figure lacking required disclosure and the prohibited guarantee of results, and routes the item to a human reviewer rather than clearing it.