Where it fits
- An advisor drafts a newsletter explaining a model portfolio shift.
- A marketing team wants reusable review steps for LinkedIn, email, and website copy.
- A chief compliance officer needs approval evidence for recurring campaigns.
- A firm wants to manage testimonials and endorsements with clearer controls.
Operational steps
- Define the content owner, reviewer, intended audience, channel, and planned publish date.
- Check claims, performance references, testimonials, endorsements, conflicts, and material assumptions.
- Insert required disclosures, source notes, risk context, and reviewer comments before approval.
- Store the original draft, redline, final version, approval history, and proof of publication.
Common risks
- A draft sounds educational but effectively recommends an investment strategy without context.
- A testimonial is used without checking compensation, conflicts, or presentation limits.
- A marketer updates a landing page after approval without creating a new review record.
- Approval decisions are scattered across email threads and cannot be reconstructed.
How FINRAGuard AI fits the workflow
FINRAGuard AI packages pre-approval into a repeatable queue: draft intake, AI risk scoring, rule references, rewrite suggestions, disclosure hints, reviewer notes, and archive capture.
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