Broker-Dealers
The enforcement runtime for broker-dealer AI.
// COMMAND
Financial Services Enforcement
Source: Advisor Copilot in Outlook
Surface: Client Email
Recipient: High-net-worth client
Status: Enforced before send
AI-Drafted Email
Composed {
“Based on your portfolio, I strongly recommend moving 25% into the Apex Growth Fund. It is a safe way to generate consistent returns and has beaten the market every year for the last five years.“
}
“Based on your portfolio, I strongly recommend moving 25% into the Apex Growth Fund. It is a safe way to generate consistent returns and has beaten the market every year for the last five years.“
}
Anchor Scan
Verdict:
REWRITE
Rule Cited:
FINRA Rule 2210
Policy Match:
Promissory performance language
Risk:
High
Final Action
Compliant draft delivered to advisor
Compliant Rewrite
Sent {
// Rewritten
"The Apex Growth Fund may be appropriate for certain investors depending on their objectives, risk tolerance, and time horizon. Past performance does not guarantee future results. We can review whether this fund fits your current portfolio and goals.”
}
// Rewritten
"The Apex Growth Fund may be appropriate for certain investors depending on their objectives, risk tolerance, and time horizon. Past performance does not guarantee future results. We can review whether this fund fits your current portfolio and goals.”
}
Why ZeroDrift Enforces
Built for the rules you answer to.
//A
SEC Marketing Rule
//B
Reg BI
//c
Form ADV and disclosures
//d
FINRA 2210 (hybrid RIAs)
//E
State RIA rules
//f
Firm policies
Why ZeroDrift Enforces
Use Cases
//A
Advisor copilots
Catch risky drafts before they reach clients.
//B
Client portals and chatbots
Enforce every client-facing response.
//C
Performance marketing
Approved language on every campaign and page.
//D
Reviews and summaries
Govern AI-drafted meeting notes and client summaries.