How Surveill Elevates Compliance Marketing Reviews for Financial Firms

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 this landscape with more confidence, control, and speed. Our platform brings modern technology to a traditionally manual and reactive process. Here’s how Surveill addresses the core challenges of high-quality marketing reviews.

1. Regulatory Intelligence at the Core

Surveill is built with the rules of FINRA Rule 2210, the SEC Marketing Rule, and NFA guidance embedded into our review engine. Our system is trained to flag high-risk language like promissory statements, backtested performance, and misleading superlatives—at scale.

But more than just flagging text, Surveill understands context. It knows the difference between a tweet and a white paper. It can distinguish whether a disclosure is sufficient and when it’s buried. And it continuously adapts as regulators update guidance or shift enforcement priorities.

2. Actionable, Consistent Feedback

Surveill doesn't generate abstract legal memos. It delivers line-by-line comments that are specific, plain-language, and immediately actionable by marketing teams. Better yet, our clients can customize rulesets and comment language to align with their internal policies—ensuring consistency across reviewers and campaigns.

This empowers marketing teams to self-correct in real time, accelerating reviews without compromising quality or regulatory alignment.

3. Risk-Based Review Prioritization

Not every issue deserves the same level of escalation. Surveill automatically scores the risk level of each asset and flags content that is likely to trigger regulator’s attention such as omitted risk disclosures, unsupported performance, or missing testimonials compliance elements.

Compliance teams can focus on the 5% of materials that pose 95% of the risk, rather than reviewing every asset from scratch.

4. Defensibility and Documentation

Surveill creates an audit trail for every review. Comments are timestamped, stored, and linked to specific regulatory citations. This makes it easy to respond to FINRA or SEC examiners with a record of how decisions were made and why certain content was approved.

This also improves internal alignment—giving legal, marketing, and compliance a single source of truth for what was reviewed, what was flagged, and how it was resolved.

5. Speed, Scale, and Automation

Surveill’s AI dramatically reduces the time to complete first-level reviews—by up to 10x compared to manual processes. It monitors web content, landing pages, and even social media in real-time, offering a level of continuous oversight that’s impossible to achieve manually.

Instead of reacting to risk after the fact, Surveill enables proactive governance across all digital channels.

Final Thought

Surveill was designed not just to make marketing compliance faster—but smarter. In an era where financial firms face more regulatory risk and reputational exposure than ever, our platform ensures that your marketing is compliant, your reviews are defensible, and your teams are aligned. Quality and speed are no longer tradeoffs—they’re the standard.