Stop Risky Ads Before They Cost You
Get instant, AI-powered reviews of your securities sales communications. Catch violations, missing disclosures, and prepare audit-ready reports—before issues become expensive headaches.
Every overlooked phrase or missing disclosure puts your firm at risk of fines, audits, and reputational damage. Manual review is tedious, error-prone, and eats up hours you don’t have. You worry that something critical will slip through, costing far more than just your time.
A Compliance Review Agent for Securities Marketing is an AI-powered agent that helps compliance officers review sales communications for regulatory violations by instantly scanning, flagging risks, and generating audit-ready reports.
What this replaces
The hidden cost
What this is really costing you
Securities firms face mounting pressure to ensure every sales communication meets strict FINRA and SEC standards. Manual reviews are slow, inconsistent, and often miss subtle violations or outdated disclosures. Compliance teams spend hours cross-checking language, documenting findings, and preparing audit trails. The risk of missed errors leads to costly fines, failed audits, and damaged trust with clients.
Time wasted
8-12 hours/week
Every week, burned on work an AI agent handles in minutes.
Money lost
$20,800-$31,200/year
In salary, missed revenue, and operational drag — annually.
If you keep ignoring it
Ignoring this problem means risking regulatory fines, failed audits, and reputational harm. Missed violations can lead to costly enforcement actions and loss of client confidence. Overworked staff may burn out, increasing turnover and further weakening compliance oversight.
Cost estimates derived from U.S. Bureau of Labor Statistics occupational wage data and O*NET task analysis.
Return on investment
The math speaks for itself
Today — without agent
10 hrs/week
of manual work
With your AI agent
1 hr/week
agent-handled
You save
$23,400/year
every year, reinvested into growing your business
Estimates based on U.S. Bureau of Labor Statistics median salary data and O*NET task importance ratings from worker surveys. Time savings assume 80% automation of eligible task components.
Jobs your agent handles
What this agent does for you
Complete jobs, handled end-to-end — so your team focuses on what matters.
Quick Review of Sales Brochures
You ask your agent to review a new sales brochure for any regulatory red flags before distribution.
Spot-Check Email Campaigns
You ask your agent to scan an outbound email campaign for missing disclosures or risky language.
Pre-Approval of Social Media Posts
You ask your agent to check a draft LinkedIn post for compliance with securities advertising rules.
Audit Preparation
You ask your agent to summarize past flagged issues for an upcoming internal or external audit.
How to hire your agent
Connect your tools
Link your compliance management, document repository, and workflow tracking tools.
Tell your agent what you need
For example: 'Review this mutual fund ad for any FINRA or SEC violations and highlight any missing disclosures.'
Agent gets it done
The agent returns a marked-up document with flagged risks, missing disclosures, and a summary report for your review.
You doing it vs. your agent doing it
Agent skill set
What this agent knows how to do
Ad Review for Regulatory Language
This agent scans sales communications for prohibited phrases, unsubstantiated claims, and missing disclosures, producing a marked-up document for your review.
Flagging Potential Violations
This agent highlights sections that may breach FINRA, SEC, or internal standards, so you can quickly address compliance risks.
Summarizing Compliance Risks
This agent delivers concise summaries of detected risks and provides suggested remediation steps in a ready-to-share report.
Consistency Checks
This agent checks every document for required disclaimers and disclosures, ensuring they are present and correctly formatted.
Audit Trail Generation
This agent creates a detailed record of each review, including flagged issues and actions taken, for future audits and internal reporting.
Key capabilities
- Automates Ad Review for Regulatory Language: This agent scans sales communications for prohibited phrases, unsubstantiated claims, and missing disclosures, producing a marked-up document for your review.
- Automates Flagging Potential Violations: This agent highlights sections that may breach FINRA, SEC, or internal standards, so you can quickly address compliance risks.
- Automates Summarizing Compliance Risks: This agent delivers concise summaries of detected risks and provides suggested remediation steps in a ready-to-share report.
- Automates Consistency Checks: This agent checks every document for required disclaimers and disclosures, ensuring they are present and correctly formatted.
- Automates Audit Trail Generation: This agent creates a detailed record of each review, including flagged issues and actions taken, for future audits and internal reporting.
AI Agent FAQ
No, the agent cannot guarantee perfect compliance. It dramatically reduces missed risks and flags issues for your expert review, improving your overall process.
The agent does not require direct integration. You simply upload or paste content for review, so it works alongside your current tools.
Yes, your data is processed securely and never shared outside your organization. All reviews remain confidential.
Yes, you can specify custom guidelines or standards for the agent to follow. The agent adapts its review to your internal requirements.
The agent reviews digital documents, emails, and social media drafts. It does not process physical mail or phone calls.
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