Where it fits
- A regulator asks for a communication and the related approval evidence.
- A firm needs to reconstruct the first-use date of a social campaign.
- A reviewer wants to see the draft, final copy, screenshot, and source material together.
- A compliance team is replacing spreadsheet-based approval tracking.
Operational steps
- Capture draft text, final text, platform, author, reviewer, status, timestamps, and attached evidence.
- Store risk findings, rule references, disclosure decisions, and source material with the content item.
- Link the archive record to the published URL or proof of publication.
- Make records searchable by advisor, campaign, platform, risk type, approval status, and date range.
Common risks
- The final published version is different from the approved draft.
- A screenshot exists but the reviewer comments and source support are missing.
- The archive cannot retrieve records fast enough for an exam request.
- Retention policy is stated but not reflected in actual system controls.
How FINRAGuard AI fits the workflow
FINRAGuard AI keeps every review tied to an audit-ready archive record, including draft history, rule mapping, reviewer notes, final content, and exportable evidence.
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