Wealth Management
The enforcement runtime for wealth management AI.
// COMMAND
Financial Services Enforcement
Source: Advisor Copilot in Gmail
Surface: Client Email
Recipient: High-net-worth client
Status: Enforced before send
AI-Drafted Email
Composed {
“Our balanced strategy has never lost money over any five-year period, so this is a safe place for your retirement savings.“
}
“Our balanced strategy has never lost money over any five-year period, so this is a safe place for your retirement savings.“
}
Anchor Scan
Verdict:
REWRITE
Rule Cited:
SEC Marketing Rule
Policy Match:
Performance guarantee language
Risk:
High
Final Action
Compliant draft delivered to advisor
Compliant Rewrite
Sent {
// Rewritten
"Our balanced strategy is designed to manage risk over longer periods. Past performance does not guarantee future results. Let's review whether it fits your retirement goals and risk tolerance.”
}
// Rewritten
"Our balanced strategy is designed to manage risk over longer periods. Past performance does not guarantee future results. Let's review whether it fits your retirement goals and risk tolerance.”
}
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.