Comprehensive Marketing Review and Archiving Solution

CompliAd360™ is GiGCXOs’ cutting-edge marketing compliance solution designed to ensure that your firm’s advertising and communications stay fully compliant with FINRA and SEC regulations.

Powered by AI*, CompliAd360™ incorporates an automated marketing review powered by our own ComplianceGPT.

With CompliAd360™, firms can also securely archive marketing materials, making it easy to retrieve records for audits and regulatory requests.

All materials are stored on AWS (Amazon Web Services) in a WORM compliant manner per SEC rules.

* Hadrius

Firms who trust the AI-driven compliance technology platform.

CompliAd360™

See screenshots from the CompliAd360™ Platform

Set the platform to automatically make redline suggestions after uploading the marketing content.

The AI checks for Testimonials, Superlatives, Promissory, Factual, Performance, and much more..

Alternatively, you simply click “Generate potential recommendation” for flagged content.

FAQs

    • Marketing content archiving & review – our customers are reporting an average of 50-70% time saving for both submitters and reviewers by leveraging AI to help in the review process

    • For marketing review – from a high level, our AI is trained on the SEC’s new marketing rule and FINRA Rule 2210.

    • It can pull the text from documents, and even video/audio files, and review it to look for superlatives, promissory statements, MNPI, and much more.

    • Prompt Tuning – similar to what happens when you engage with ChatGPT (if you have used that) essentially, CompliAd360™ built out a number of ways to interact with the AI, asking it to generate certain styles/modes of text.

    • RAG (Retrieval Augmented Generation) – similar to prompt tuning, but CompliAd360™ is creating a prompt and pulling in relevant material from an outside body (like SEC/FINRA Rules/Regulations/Risk Alerts).

    • If CompliAd360™ needs to review a source material for superlatives, the prompt will include the source as well as these outside specific rules which the algorithm is testing against.

    • Fine Tuning – when thinking about the massive amount of information that LLMs (like ChatGPT) have access to, it is a really blurry image of the entire internet. CompliAd360™ pares it down to a more specific, sharper image of just the regulated space that CompliAd360™ is working in. It is an involved process, but CompliAd360™ takes input-output pairs and ensure that the AIs output corresponds more with the sharper specific image that is relevant rather than the blurry general image.

    • For example, our algorithm could potentially flag for MNPI within email correspondence, but it could not provide you with a list of possible recipe ideas.

    • CompliAd360™ uses AI surgically in only a handful of the most mundane parts of the compliance process.

    • Its algorithms are trained and tested regularly to ensure their reliability.

    • CompliAd360™ is powered by Hadrius. An advanced new RegTech platform.

    • To ensure accuracy, CompliAd360™ conducts regular sampling of the AI output to ensure it is operating as intended, and the algorithms are refined as needed to better suit each firm’s specific compliance program.

    • Yes, but we approach these requests case by case as it largely depends on the quality of the data available from the legacy providers.

  • Yes, CompliAd360™ is 17a-4 compliant by default with the use of Amazon AWS S3 Object Lock.