Compli Ad 360

Comprehensive Marketing Review and Archiving Solution.

Compli Ad 360 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*, Compli Ad 360 incorporates an automated marketing review powered by our own ComplianceGPT.

With Compli Ad 360, 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.

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, Compli Ad 360 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 Compli Ad 360 is creating a prompt and pulling in relevant material from an outside body (like SEC/FINRA Rules/Regulations/Risk Alerts).

    • If Compli Ad 360 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. Compli Ad 360 pares it down to a more specific, sharper image of just the regulated space that Compli Ad 360 is working in. It is an involved process, but Compli Ad 360 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.

    • Compli Ad 360 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.

    • Compli Ad 360 is powered by Hadrius. An advanced new RegTech platform.

    • To ensure accuracy, Compli Ad 360 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, Compli Ad 360 is 17a-4 compliant by default with the use of Amazon AWS S3 Object Lock.