Licensed investment firm
From marketing policy and checklist to approved marketing content.
Compliance turnaround in hours, not days. An AI agent did the heavy lifting on every review round, and a compliance professional reviewed its work rather than starting from scratch.
What changed
Under 2 hours
For the first compliance review of the draft content, and most later rounds back the same day or overnight.
By the numbers
- First compliance review of the draft content against the license
- Under 2 hours
- Most review rounds back the same day or overnight
- Hours, not days
- For compliance to review the agent’s completed checklist
- ~14 hours
- Changes right the first time in the largest round
- 11 of 12
- Checklist versions, every item with a status and owner
- 6 versions
- Compliance sign-off, before publication
- Signed off
The approval loop every regulated firm runs, made fast.
Every regulated firm runs the same loop for marketing material. Marketing drafts the content. Compliance reviews it against the firm’s license, its marketing policy and its checklist, and sends back changes. There are a few rounds, and then compliance signs it off for publication. In many firms, each round waits for someone to work through the checklist again, so approval can be slow.
This licensed investment firm was publishing new web content, along with the client documents that had to sit behind it. Its license had just been expanded, so every statement about what the firm does, for whom and on what terms had to match the license exactly. Its own marketing-compliance policy set out a 30-item checklist to complete before publication.
We set up an AI agent to do the heavy lifting on every round. It reviewed the content against the license, the policy and the checklist; said exactly what had to change and what wasn’t yet handled; and re-checked the changes. Each round was documented. A compliance professional then reviewed the agent’s work rather than starting the review from scratch, and people made every decision.
The first review, in under two hours
Four statements that had to go.
Within about two hours of the draft content arriving, the agent had mapped every service and product statement to the license’s authorizations and to the firm’s own stated positions, and the director had a marked-up rewrite to send back.
- Removed 01
A “we act in your best interests” promise
That duty applies to individual recommendations, and the firm doesn’t make them, by design.
- Removed 02
Wording that read like discretionary portfolio management
The license does not permit it for this group of clients.
- Removed 03
Custody wording about holding and safeguarding client assets
The firm’s capital position rested on a narrower custody role, so this was a financial question as well as a wording one.
- Removed 04
A claim to “operate” investment funds
Operating funds needs a different kind of authorization.
It also removed product opinions that would have turned factual content into recommendations, words such as “secure” that the checklist treats with caution, and a complaints promise stricter than the standard the firm actually had to meet. Every page gained a plain statement that holding a license is not an endorsement by the regulator and does not protect investors against loss.
The director pointed the review at the firm’s own marketing policy, and running the content against the policy’s 30-item checklist added items the license review alone had missed. From then on, the checklist was the backbone of every round.
When two pages had gone out as outline notes rather than finished copy, the agent wrote them in full, along with the terms of use, within five hours of the gap being flagged.
Review, not rework
A compliance professional reviewed the agent’s work, rather than starting from scratch.
After the first round, the firm’s outsourced compliance manager reviewed the agent’s completed checklist. They answered within about 14 hours, cleared most of the open points and raised six more of their own, from a country list on the contact form to the wording of the firm’s licensing history. They also recommended a client disclosure document before publication, which the firm followed.
The agent drafted the replies and marked up the client documents. The compliance manager decided every compliance question, and formally signed off the final checklist before publication.
- The agent reviewed, drafted, checked and documented.
- The compliance manager decided the compliance questions and signed off the checklist.
- The director made every business decision, approved and sent every message, and approved publication.
Rigorous, and on the record
Nearly every change landed the first time.
Every finding that needed a change became a numbered request with the exact replacement text, what not to touch and why. Nearly every requested change landed the first time: 8 of 10 in the first round and 11 of 12 in the largest. The few that didn’t were caught on the next check. Changes were batched where possible to keep the rounds few.
The checklist went through six versions. Each recorded every item’s status, who owned each open item, what had been fixed, what was still open and which items had passed, so settled decisions were on the record and didn’t need re-arguing.
Because the content was going online, the agent also checked it on the test build, including data a reader never sees, and caught a restricted internal email address before publication.
The result
Approved marketing content, in hours rather than days.
Approved marketing content, formally signed off by compliance, with every risk statement found in the first review removed before publication.
Compliance turnaround in hours, not days: the first review in under two hours, and most of the agent’s later rounds back the same day or overnight.
A compliance professional reviewing a completed checklist, rather than raw content.
Changes right the first time: 11 of 12 in the largest round.
A documented trail through six versions of the checklist.
Four client documents published alongside the content: privacy policy, terms of use, complaints policy and a client disclosure document.
The service behind this work
Managed AI Agents
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How long does marketing approval take at your firm?
This approach fits any regulated firm that has to approve marketing material before it goes out: fund factsheets, campaigns, web content, presentations or client documents. An AI agent can run each round against your license, your policy and your checklist in hours, document every step, and hand your compliance team a finished review to check, while your people keep every decision and every sign-off.