Pre-review ads, landing pages and social posts for FINRA/SEC-style risk language, fair and balanced claims and required disclosures – before your campaign ships. Reduce review cycles while strengthening supervision and audit readiness.
Why it matters
Benefits
Flags absolute or promissory statements (e.g., “guaranteed returns”), unqualified superlatives (“best”, “#1”), and performance references that need context, time periods, benchmarks and assumptions – helping maintain “fair and balanced” communications and reduce regulatory exposure.
Detects missing or incomplete disclosures such as APR ranges, NMLS IDs, “member FDIC”, SIPC coverage language, investment risk statements, variable product limitations and jurisdictional caveats – reducing back-and-forth in compliance review.
Creates a structured record of checks, findings, approvals and version history across ads and landing pages – supporting supervisory procedures and making audits and internal testing easier to evidence.
Automates first-pass policy checks so compliance reviewers focus on nuanced judgment calls (context, suitability, product nuance) rather than repetitive proofreading – shortening review cycles for high-volume channels like paid social and email.
Use cases
Challenge
A social campaign promotes model portfolio results and uses screenshots of charts. The team risks omitting time periods, benchmarks, fees, assumptions or required risk language – and social character limits make it easy to miss critical qualifiers.
Solution
Ad Compliance Checker identifies performance-related phrasing, prompts for required qualifiers (time period, benchmark, net-of-fees context, hypothetical vs actual) and verifies that risk disclosures are included in the post or compliant destination page with appropriate linkage.
Challenge
Marketing updates a landing page headline and inadvertently removes key APR disclosure language, eligibility criteria or representative example requirements. Small edits can create a misleading impression and trigger UDAAP or advertising compliance concerns.
Solution
Ad Compliance Checker scans page content for APR and fee mentions, validates presence of required disclosure blocks, and flags inconsistent rates, missing ranges or unclear conditions – helping keep offers accurate, prominent and consistent across ad and landing page.
Challenge
Field teams and advisors produce localized ads and emails with inconsistent firm names, outdated disclosures, and unapproved claims about products, rankings or guarantees. Supervising and archiving this content at scale becomes difficult.
Solution
Ad Compliance Checker enforces brand and compliance templates, detects prohibited phrases and missing firm identifiers, and supports a standardized workflow for review and retention – reducing supervision gaps across distributed teams.
More industries
FAQ
It supports common advertising and communications controls used by regulated firms – including FINRA communications standards (e.g., fair and balanced, not misleading), SEC marketing rule-related guardrails for investment advisers, and comparable expectations under FCA and other local regulators. It does not replace legal advice, but it helps operationalize your internal policies by consistently checking for high-risk claims, required disclosures, prominence issues and recordkeeping completeness across channels.
Yes. Many compliance failures occur when the ad and destination page don’t match – for example, an ad mentions a rate or benefit that the landing page qualifies differently, or the landing page is missing the disclosure that was present in the ad. An Ad Compliance Checker can evaluate ad copy, creative text and landing page content together, flag mismatches and confirm that required risk language and offer terms are present and appropriately placed.
It flags absolute or promissory language and routes the item for review with suggested alternatives aligned to your policy – for example, replacing “guaranteed” with precise, product-appropriate wording and adding qualifiers where allowed. It can also enforce product-specific rules, such as stricter language controls for variable products, crypto-related promotions or complex structured offerings.
Yes. Financial Services firms typically need to retain communications, approvals and supporting documentation. An Ad Compliance Checker can capture versions, findings and approval metadata so you can demonstrate supervision – what was reviewed, when it was reviewed, what changed and who approved – which supports internal audits, regulatory exams and third-party oversight.
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