Where it fits
- An adviser posts a client success story or third-party endorsement.
- A social campaign mentions back-tested performance or model portfolio results.
- A firm reuses webinar clips across LinkedIn, email, and landing pages.
- A reviewer needs a consistent record of edits, approvals, and disclosure decisions.
Operational steps
- Identify whether the content is advertisement, educational material, market commentary, endorsement, testimonial, or recommendation-adjacent copy.
- Review performance, ratings, rankings, cherry-picked facts, hypothetical examples, compensation, and conflict disclosures.
- Require substantiation for material claims and preserve sources with the review record.
- Archive the approved content and monitor post-publication edits or comment-driven changes.
Common risks
- A testimonial omits compensation or material conflicts.
- Hypothetical performance is presented as typical client experience.
- A ranking claim lacks methodology, date, or source.
- A short social caption strips away risk language that existed in the longer article.
How FINRAGuard AI fits the workflow
FINRAGuard AI helps advisory teams review marketing drafts, highlight unsupported claims, suggest disclosures, and keep approval evidence tied to every social media item.
Ready to review real advisor content?