Investment Advisory Compliance Agent

Purpose

Investment Advisory Compliance Agent helps review marketing and advisory materials for required investment disclosures, including MIFID/PRIIPs-related requirements, and supports the identification of disclosure gaps with proposed compliant wording and evidence.

Primary users

The primary users are external client-facing users who need support checking investment marketing or advisory content before it is shared, published, or used in client interactions.

Where it fits (process/stage/trigger)

This agent fits into the compliance review stage for marketing content, product sheets, scripts, and related advisory materials, especially when materials must be checked against investment disclosure rule sets before delivery or publication.

Key capabilities / workflow

The agent analyzes provided marketing and advisory content against rule sets, flags missing or incomplete disclosures, proposes compliant wording, associates evidence where available, and prepares annotated outputs and dashboards for review.

Inputs

Typical inputs include marketing content in PDF, PowerPoint, HTML, or text format, product sheets, scripts, and rule sets. Dataset information is not specified.

Outputs / Deliverables

Typical outputs include annotated materials, disclosure gap reports, proposed compliant wording, supporting evidence, and dashboards.

Value

The agent supports faster and more consistent compliance review of investment advisory and marketing materials by helping identify required disclosure gaps and preparing wording suggestions aligned with the provided rule sets.