Built for regulators, not just growth
Every feature was designed with SEC Marketing Rule, FINRA guidelines, and state RIA regulations in mind. Compliance isn't an afterthought — it's the foundation.
Automatic Archiving
Every brief — script text, rendered MP3, delivery timestamp, and recipient list — is automatically pushed to your SAGE Vault, Smarsh, or Global Relay archive before delivery.
SEC Marketing Rule Compliant
No buy/sell recommendations. No specific price targets. Required disclaimers read verbatim at the close of every briefing. No speculation, only factual reporting.
GDPR-Aware Infrastructure
Postgres hosted in EU-Frankfurt region. Data processing agreements in place. Client data never used to train AI models. Right to deletion supported.
Custom Disclaimer Editor
You control the exact disclaimer text read in every brief. Update it anytime from the advisor dashboard. Changes apply to the next briefing.
Compliance Review Queue
Enable pre-delivery review for any brief. Pause the pipeline, review the script and audio, approve or edit before it reaches clients.
Audit-Ready Logs
Every API call, every generation, every delivery is logged with timestamps. Export compliance reports for auditor review in one click.
SEC Marketing Rule compliance
No Material Misrepresentation
AI is instructed to report only factual, publicly-available information. No opinions presented as facts.
No Omission of Material Facts
Multi-source aggregation ensures balanced coverage. We don't cherry-pick bullish or bearish stories.
No Unsubstantiated Claims
No 'guaranteed returns,' 'safe bets,' or predictive language. Script template enforces this at generation time.
Required Disclaimers
Your company's disclaimer is read verbatim at the end of every brief. Never skipped, never modified by AI.
Smarsh & Global Relay Integration
Connect your existing Smarsh or Global Relay account in under 5 minutes. Every brief is archived with:
- Full script text (for text searchability)
- Rendered MP3 audio file
- UTC timestamp of generation and delivery
- Complete recipient list per delivery
- Advisor approval status (if review queue enabled)
WORM Compliant
Write Once Read Many archive format supported by Smarsh and Global Relay.
SAGE Vault — In-House Archive
A 7-year, WORM-locked compliance archive built directly into every paid plan. No third-party required. Every briefing and podcast is preserved with cryptographic integrity.
- SHA-256 hash verification per asset
- Searchable transcripts with full-text search
- Complete approval ledger (who, when, IP)
- Up to 10 team members with role-based access
- Immutable audit log of reads & downloads
WORM Compliant
Object Lock COMPLIANCE mode prevents deletion or overwrite for 7 years.
This page describes our compliance features and intentions. It does not constitute legal advice. We recommend every company have their compliance counsel review the service before launch. We're happy to provide sample scripts, archive formats, and technical documentation for your auditor's review.