In the age of automation, AI, and increasing regulatory complexity, financial firms face growing pressure to scale their compliance oversight—especially over marketing, communications, and digital media. But whether you’re a broker-dealer, investment adviser, or commodities firm, one thing hasn’t changed: the obligation to supervise. From FINRA, to
If you attended the FINRA conference this year, you’d think we’ve entered the golden age of AI in compliance. It was the hottest topic in every hallway conversation, panel discussion, and vendor booth. And yet, the numbers tell a different story. According to Thomson Reuters, less than 15%
Why Prompt Engineering Doesn’t Work in Legal & RegTech — and What Surveill Does Instead There’s a popular belief in the AI space that with the right prompt, you can make a large language model (LLM) do just about anything. While that might hold in creative or conversational applications,
Marketing compliance in the financial industry is becoming more complex and has higher stakes. FINRA, the SEC, and the NFA are increasingly scrutinizing how firms communicate with retail and institutional clients—especially when it comes to performance claims, testimonials, and social media content. Surveill was built to help firms navigate
For financial institutions—whether broker-dealers, investment advisers, or commodity advisors firms—marketing is a powerful tool for growth. But in a highly regulated environment, every word, image, and claim is subject to scrutiny by regulators like FINRA, the SEC, and the NFA. Compliance marketing reviews aren’t just about avoiding
Marketing is a delicate balance between captivating an audience while also navigating a labyrinth of compliance regulations. For firms and their compliance teams and marketers alike, this balancing act often comes with its own set of challenges. In fact, there are too many challenges to mention but let’s explore
Thoughts on Compliance, AI and Reg Tech
